N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Phil L. and Pat Huddleston 95-04960 Name of Respondents Investors Associates, Inc. Tom Marinovich, Sr. James Cassidy CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 20, 1995, Claimants Phil L. and Pat Huddleston ("Claimants"), who appeared Pro Se, alleged that Respondents

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01080 Charles Schwab & Co., Inc., claimant vs. Walter Ray Rhodes, respondent. ATTORNEYS: For Claimant appeared Mauricio S. Beugelmans, Esq., in-house counsel, San Francisco, CA. Respondent did not submit a response to the Statement of Claim. DATE FILED: March 5, 2001 CASE SUMMARY: Claimant alleged that respondent has failed to pay the debit balance in his margin account. The debit b

N.A.S.D. REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Ilya and Irina Boguslavsky V 95-04957 Name of Respondents Rickel & Associates, Inc. Andreas Zigouras Dmitry Aranovich Joseph Fedorko John C. Kawas, Jr. REPRESENTATION For Claimants, Ilya and Irina Boguslavsky, appeared Ilya Boguslavsky. (pro se) For Respondent, Rickel & Associates, Inc., appeared Vincent P. Sarnato

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants S. John Whitehill Name of Respondents RRZ Public Markets, Inc. Timothy S. Davis Charles Gomulka 95-04955 REPRESENTATION Claimant S. John Whitehill ("Claimant") was represented by Daniel M. Berger, Esq. and Amy Acheson, Esq., Berger Law Firm, Pittsburgh, PA. Respondent RRZ Public Markets, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Qaimantfsl Donald Boland 95-04952 Name of Respondent(s) M. Rimson & Co. Inc. Alex Shindman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 19, 1995 Claimant Donald Boland, who appeared Pro Se, alleged that Respondent Alex Shindman of the Respondent firm M. Rimson & Co. Inc. misrepre

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Delmar and Jean Pittman, Harriet Busdicker, Janice Bonneville, Marlene D. Staples, and Dean and Rita M. Schuster, Claimants, V. No, 95-04949 Craig-Hallum, Inc., and Hamilton Investments, Inc., "a-:oRrf Assectatsoa of ecurities Dcahr;. Inc. Respondents. Claimants Delmar and Jean Pittman, Harriet Busdicker, Janice Bonneville, Ma

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Katie H. Barr 9504948 Name of Respondent ,-, x , ^ . A r © National Association o i .,,,.,.„ . Securities Dealers.lnc. ' Jj^Michael Bergquist All Rights Reserve*: REPRESENTATION Claimant Katie H. Barr ("Claimant ") represented herself. Respondent Michael Bergquist ("Respondent ") rep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Temple 95-04943 -^Barron chase securities, Inc. Paul D. Medrano The Dean & Associates Group, Inc. For Claimant: Ken Harris, Esq. of the law firm of Brett Alan Verona, Tampa, Florida. r f ; c^E6f.Respondents: Etigene Michael Kennedy^PiAt-^ortlJrtiderdalei Florida ; - c.-v. ^ CASE INFORMATION tof CM^fifed^©^oBet 18^1995.*' -' ^

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Claimant Marilyn H. Montuori 95-04938 Name of Respondents Citicorp Investment Services Scott Marsden Stephen Victor CASESUMMARy En a claim filed with the National Association of Securities Deajere,; Inc. on October 18J •]< &SXDtaih4arit ! Marilyn H. Montuori ("Claimant"), who appeared Pro Se^all^ged that she heW ant^c^iittf wto

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bruce Michael Isaeff. IRA 95-04934 Name of Respondents ^National Association Dean Witter Reynolds Inc. Bounties Dealers, i^ Stacy Cohn AU Rights Reserve, CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 18, 1995, Claimant Bruce Michael Isaeff, IRA ("Claimant"), who appea