1 Arbitration VT * „ ~ ,,,.«~ National Association of N.A.S.D. AWARD Securitfes Dealm, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS FAX (21 2) 85*4389 In the Matter of the Arbitration Between Name of Claimants Charles E. and Margaret A. Crow Deborah Chapman 92-00504 Name of Respondents Smith Barney Harris Upham & Co.. Inc. William C. Brown REPRESENTATION For Claimants Charles E. and Margaret A. Cr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name Tom R. Taveggia Case No. 01-00877 SunTrust Banks, Inc. (d/b/a SunTrust Equitable Securities) Hearing Site- Richmond, VA ° Claimant Tom R. Taveggia ("Claimant") was represented by: James B. Thorsen, Esq. of the law firm of Thorsen & Scher, LLP, Richmond, VA. Respondent SunTrust Bank d/b/a SunTrust Equitable Securities, Inc. ("Respondent") was represented by

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00~00673 Ke-Yu Xiong, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS Claimant Ke-Yu Xiong, appeared Pro Se, Friendswood, TX For Respondent Ameritrade, Inc. appeared in-house counsel, James A. Ricketts, Bellevue, NE DATE FILED: February 15, 2000 CASE SUMMARY: Claimant alleged respondent violated NASD margin rules, was negligent and did unfair and unreasonable business regarding th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Maribel Flores and 92-00500 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Scott Lewandowski REPRESENTATION OF PARTIES Claimant was represented by Kenneth M. Stillman, Esq. of Stillman and Bennett, P.C., Dallas, Texas. Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. was represented by G

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harriet Rogoza Newman 1987 Revocable Trust NO. 92-00498 Name of Respondents Richard M. Ryan Robert W. Baird & Co. Incorporated REPRESENTATION OF PARTIES For Claimant: Herbert S. Bratt, Esq. of Curchill, Duback & Smith. For Respondents: Deborah J. Fabritz, Esq., of Robert W. Baird & Co., Inc., Milwaukee, Wisconsin.

M.A.5.2. ^ :iftnCMAL ASSOCIATION OF S3CDRIT In the Matter of the Arbitration Mame of Claimant Estate of Myrle S. Kahn o£ T^aVman Brothers, IHC. Wayne Hutton Charles Harold Cooper 92-00492 ^rort ration National Association or Securities Dealers. Inc. •;ASD r «anciai Cenier 2 '.Vhitenan Street 'Jew rcrn. N.Y '?QO^ For Claimant: Carole G. Gelfeld, Ssq. and Elizabeth S. York, Esq. 'or Respondaits: Charles R. Mills. Esq. a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Allan A. Kaplan 92-00486 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION For Claimant, Allan A. Kaplan ("Kaplan"): Philip J. Snyderburn, Esq., of Snyderburn, Rishoi & Swann. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch"): Charles L. Henderson of Merrill Lynch. CASE

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of.The Arbitration Between Kristen Sherwood Education Trust, Gary Ingram, Trustee Claimants vs. Dean Witter Reynolds Inc, Monty Grau Respondents CASE #92-00485" AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 10, 1992, Claimant Kristen Sherwooc Education Trust, through its Trustee Gary Ingram, allege

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Mae Kirk Ccburn John Kirk Coburn Richard Kirk Coburn No.s 92-00462 92-02237 Consolidated Name of Respondents/Crossclaimants R.G. Dickenson & Co. Gerald Verr Name of Respondent:/Crossrespondent Mark Verr REPRESENTATION OF PARTIES For Claimants: Michael Fitzsimmons, Esq. of Fitzsimmons. Roberts & Payne, Oakbrook, Illinois. For Respondent Gerald Verr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECTJRTTTFF nFAF.FRS. INC. In the matter of the Arbitration Between Name of Claimants Anna M. Strieker Curtis A. Strieker Name pf Respondents International Assets Advisory Corp. Kevin Woodbridge NASD Arbitration No. 92-00461 REPRESENTATION For Claimant: In Pro Se For Respondents: In Pro Se CASE INFORMATION Statement of Claim filed: February 6, 1992 Claimants' Submission Agreement sig