NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00972 Peter and Grace Margarita, claimants vs. Wall Street Equities, Inc. respondent. ATTORNEYS: Claimants appeared Pro Se, Commack, NY. For Respondent appeared Ronald Berti, Director of Compliance, New York, NY, DATE FILED: February 27, 2001 — CASE SUMMARY: Claimants alleged that respondents made trades in his cash account that exceeded the amount of cash he had in his account at

TrO- '' i 'Hlh N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patricia Graham >^ ^" ~ "" * il>* 95-02752 * ^ * ^ m Name of Respondents r * Smith Barney Shearson, Inc. Desmond Judge REPRESENTATION For Claimant, Patricia Graham ("Graham"): Steven A. Baker, Esq., of Allan & Shipp, P.A., St. Petersburg, Florida. For Respondents, Smith Barney Shearson ("S

NASD REGULATION, INC. AWARD ,-* OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Natalie Herman 95-02712 Name of Respondents Gibraltar Securities Co. Andrew Brietbart REPRESENTATION For Claimant Natalie Herman ("Claimant") appeared Morgan W. Bentley, Esq. in private practice, located in Newark, New Jersey. For Respondents Gibraltar Securities Co. ("Gibralter") and Andrew Brietbart ("Breitbart")(c

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant- American Petroleum Institute 95-02252 Name of Respondent Kidder, Peabody & Co., Incorporated Jeff Bartlam REPRESENTATION Claimant American Petroleum Institute ("Claimant") was represented by William J, Bethune, Esq., Marsh Fleischer & Quiggle, Bethesda, MD Respondents Kidder, Peabody, & Co. , Incorporated ("Kidder Peab

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name ia of Claimant Michael Pizitz 95-02198 Name of Respondents A.S. Goldmen & Co., Inc. Anthony Salino REPRESENTATION For Claimant, Michael Pizitz ("Pizitz"), Thomas L. Krebs, Esq. of the law firm Ritchie & Rediker, P.C. located in Birmingham, Alabama. For Respondents, A.S. Goldmen & Co. s Inc. ("Goldmen") and Anthony Salin

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Helena Jani Mary Jani Englert Helena Jani Hurley Frances Jani Neville NASD Case No. 95-02193 Name of Respondents Dean Witter Reynolds Inc. John M. Carrick REPRESENTATION For Claimants Helena Jani, Mary Jane Englert, Helena Jane Hurley and Frances Jane Neville ("claimants") appeared Richard B. Cohen, Esq. of Akabas & Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roger and Ruth Kamm 95-02000 Name of Respondent Barren Chase Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1995, Claimants Roger and Ruth Kamm, who appeared Pro Se, alleged that Respondent Barton Chase Securities ("BCS"), made an error when Claimants reque

fc.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert and Sherry Gedulig, JTWROS 95-01998 Name of Respondents Hunter International Securities Gary A. Franklin TASK SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1995, Claimants, Robert and Sherry Gedulig, JTWROS ("Claimants"), who appeared Pro Se, alleged that Respondents,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William L. Rehana 95-01995 Name of Respondent Halpert & Co. REPRESENTATION Claimant William L. Rehana ("Claimant") was represented by Anthony 3. Horn, Esq., Philadelphia, PA. Respondent Alpert & Co. ("Respondent") was represented by Mari-Anne Pisarri, Esq., Pickard & Djinis, Washington, DC. CASE INFORMATION The Statemen

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Fred L. & Lillian M. Swann 95-01984 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Gene Randall Rhoades REPRESENTATION Claimants Fred L. and Lillian M. Swann ("Claimants") were represented by Geoffrey P. Damon, Esq., Cincinnati, OH. Respondents Merrill Lynch, Pierce, Fenner & Smith, I