AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between O National Association of Name of Claimant Securities Dealer,. Inc. PaineWebber, Inc. ****" 1996 Case No. vs. 95-03271 All Rights Reserved Name of Respondent Robert D. Sherwin REPRESENTATION For Claimant, PaineWebber, Inc. ("PW"), Steven L. Manchell, Esq. and Bradford Hermanson, Esq., from the firm of Choate, Hall, & Stewart, located in Boston, Massachusetts. For Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas J. Boyce 95-03261 Name of Respondents La Jolla Capital Corporation James A. Revels CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 6, 1995, Claimant Thomas J. Boyce ("Claimant"), who appeared Pro Se, alleged that Respondent La Jolla Capital Corporation ("La Jolla"), thr

In the Matter of the Arbitration Between: Name of Claimant Joseph P. Mauer Name of Respondent Mutual Trust Co. of America Securities Case Number: 01-01013 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Joseph P. Mauer ("Claimant"): Scott C. Ilgenfritz, Esq., Johnson, Blakely, Pope, Bokor, Ruppel & Bums, P. A., Tampa, Florida. On or about June 20, 2002, Scott C. Ilgenfritz withdrew. Thereafter, Claimant appeared pro se. For Mutual

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alvin W. Daughtridge 95-03260 Name of Respondents Gruntal & Company Nick Solomon REPRESENTATION Claimant, Alvin W, Daughtridge, appeared pro se. For Respondents, Gruntal & Company and Nick Solomon, appeared Harry Frisch, Esq. in-house counsel with Gruntal & Company located in New York, New York. CASE INFORMATION Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NaineofClaiiiiants John Dedyo John J. Dedyo John P. McGuire 95-03259 Name of Respondents Schroder Wertheim & Co. Inc. Dickinson & Co. William Hecht REPRESENTATION For Claimants John Dedyo, John J. Dedyo and John P. McGuire (collectively referred to as "claimants") appeared James C. DeNorscia, Esq., of the law firm of Sonageri & Fall

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jo Ann St. Pierre 95-03258 Name of Respondents Robert Thomas Securities, Inc. Thomas C. Ferguson REPRESENTATION For Claimant Jo Ann St. Pierre ("claimant") appeared Robert Fitzpatrick, Esq., a sole practioneer located in Clifton, New Jersey. For Respondents Robert Thomas Securities, Inc. ("Robert Thomas") and Thomas C, Ferg

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Hilda Downs Powell — 95-03249 Name of Respondents Sunpoint Securities Inc. REPRESENTATION Claimant Hilda Downs Powell ("Claimant") was represented by Hark Rollinson, Esq., Leesburg, VA Respondent Sunpoint Securities, Inc. ("Respondent") was represented by Fredrick C. Summers, III, Esq., Dallas TX CASE INFORMATION T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Christopher M. Wilson 95-03246 Name of Respondents FBS Investment Sex-vices Michael Harlander REPRESENTATION Claimant, Christopher Wilson ("Wilson") was represented by Donald E. Horton, Bag. of Horton and Associates, Minneapolis, Minnesota. Respondents, FBS Investments Services Inc. ("PBS") and Michael Har lander ("Harl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter' of the Arbitration Between Name of Claimant Peter Nyhus 9503243 Name of Resnondents @ x a tj 0:ri | < v«o~rL on of Securities Deate. Inc. Putnam Mutual Funds Corp. Putnam Investments ,„„. .. ~ All Rights Reserved REPRESENTATION For Claimant appeared Earl P. Gray, Esq. of St. Paul, Minnesota. For Respondents appeared Louis A. Rodriguez of the firm

y r N.A.S T). AWARD NATIONAL ASSOCIAT I O N OF SRCTTRTTTF. S TNC In the matter of the Arbitration Between Nane David Ritchie Name of Respondents Leonard A. Robbins ana 'Private Investors Equity Group For Claimant: For Respondents: © National Association ct Securities Dealers. Inc. All Rights Reserved NASD Arbitration No. 95-03242 REPRESENTATION David C. Hinshaw, Esq. Gansinger, Hinshaw, Buckley & Padiila Los A