N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Williams Capital Group, L.P. 96-00819 Name of Respondent Sharpe Capital Inc. CASE SUMMARY In a case filed the National Association of Securities Dealers, Inc., on February 23, 1996, claimant the Williams Capital Group ("WCG" or "claimant"), through its representative and Chief Operating Officer Bruce M. Usher, alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Prudential Insurance Co. of America %-00817 Name of Respondents Paul Seymour Steven G. Frederick REPRESENTATION For Claimant, The Prudential Insurance Co. of America ("Prudential"} appeared Nathaniel H. Akerman, Esq. of Seyfarth, Shaw, Fairweather & Geraldson located in New York, NY. For Respondent Paul Seymour ("Seymou

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Kalma Koenig Robert and Mary Waller v. Arbitration No. 96-00816 Name of Respondents N.I.F. Securities, Inc. James N. Orth REPRESENTATION OF PARTIES Kalma Koenig, Robert Waller and Mary Waller ("Claimants") were represented by Gary E. Gleicher, Esq., Law Offices of Gary E. Gleicher, Beverly Hills. California. N.I.F.

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Edmund J. Scanlan 96-00814 Name of Respondents Bear Stearns & Co., Inc.; Michael A. Mauskopf REPRESENTATION For Claimant: Edmund J. Scanlan ("Scanlan") was represented by Patrick J. Sherlock, Esq. of Chicago, Illinois. For Respondents: Bear Stearns & Co., Inc. ("Bear Steams") and Michael A. Mauskopf ("Mauskopf") were re

N.A.S.D. AWARD NATIONAL ASSOCL4TION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Noel M. and Esther Darden 96-00811 Olde Discount Corporation Steven A. Solano REPRESENTATION The Claimants appeared pro se. For Respondents: Julie D. Reed, Esq., in-house counsel at Olde Discount Corporation. CASE INFORMATION Statement of Claim filed on: February 23, 1996. Amendment to Statement of Claim filed on: Marc

N.A.S i) AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Fernando and Bette Terneus 96-00810 CASE SjjVIMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23. 1996, CLimants Fernando and Bette Terneus ("Claimants"), who appeared Pro Se. alleged that Respondent J.C. Bradford & Co. ("Bradford") misrepresented PLM Equipment Growth Fund IV ("PLM") as a safe, conservative investment, and completely failed to explain t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05419 Ameritrade, Inc., Claimant vs. Suzanne Farese, Respondent. ATTORNEYS: For Claimant appeared James Vihstadt, Esq., Ameritrade, Inc., Bellevue, NE. Respondent did not respond to the Statement of Claim. DATE FILED: December 6, 2000 CASE SUMMARY: Claimant alleged Respondent purchased stocks on margin. After liquidating stocks in her account, she incurred a debit balance which sti

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant 96-00807 Name of Respondents Carlyle International Securilies Carlyle USA, Inc. REPRESENTATION For claimant Corey Owens ("claimant") appeared Joseph E. Gasperetti, Esq. a sole practitioner located in New York, New York. A representative for respondents Carlyle International Securities ("CIS") a

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Ralph Girafalco 96-00804 Name of Respondents Smith Barney, Inc. Anthony Snaith REPRESENTATION Claimant Ralph Girafalco ("Claimant") was represented by Frank J. Williams, Esq., O'DonneH, Hagner & Williams, Paoli, PA. Respondents Smith Barney, Inc. ("SB") and Anthony Snaith ("Snaith") were represen

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert (label and 96-00803 Name of Respondent Century Investors of America. Inc. Hollv E, Hotirm REPRESENTATION OF PARTIES Robert Gabel ("Claimant") was represented by Andrew C. Littman, F,sq., Stevens, Littman & Biddison. L.L.C.. Boulder. Colorado. Century Investors of America. Inc. ("Respondent Century") and Holly E. Iloti