NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05297 M.L. Stern & Co., LLC, claimant vs. Ken Howard, respondent. ATTORNEYS: For Claimant appeared James D. Portman, Esq., General Counsel, Beverly Hills, CA. Respondent appeared pro se, Los Angeles, CA. DATE FILED: November 30, 2000 CASE SUMMARY: Claimant alleged that respondent breached his employment agreement by failing to repay monies provided as a loan during his employment w

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03949 AWARD In the Matter of the Arbitration Between Robert and Mildred Evans, JTTEN Claimants vs. J.W. Charles Securities, Inc. Sheila Whitefield Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 13, 1991, Claimants, Robert and Mildred Evans, who appeared Pro Se, alleged that on July 16, 1987 Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Cathy E. Allin-Cruce and 91-03948 - - **- Name of Respondents Tata Schuchmann REPRESENTATION OF PARTIES Claimant Cathy E. Allin-Cruce was represented by Thomas M. Bradshaw, Esq. of Hoskins, King, McGannon & Hahn, Kansas City, Missouri. Respondent Taia Schuchmann was represented by Christopher M. Weil, Esq., of Weil &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William and Doris Skarnulis William Skarnulis, IRA Account Doris Skarnulis, IRA Account William Skarnulis Living Trust 91-03947 Name of Respondents USA Financial Group, Inc. William L. Davis James A. Kirkland Diversified Financial Consulting REPRESENTATION For Claimants: David M. Foster, Esq. a sole practitione

Arbitration _ < 8> N.A.S.D. AWARD National AModation of Sacurtttea Oaalart, Inc. NATIONAL ASSOCIATION OF SttJUKLTihS DEALERS ^™" 9 "* Boulevard In the Matter of the Arbitration Between Name of Claimant (s) Arm p. PjHTnTTitfn 91-03942 Name of Respondent (s) -Bache Securities Inc. Ft. Lauderdale, Florida 33301 (305) 522-7391 Claimant: pro se. : Stephen Z. Frank, Esq. of Prudential Securities, .Inc. Statement of nnini filed

NA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFAI F.RS Name of Claimant Archelon Partners, Inc. and Charles H. Tall, IV No. 91-03929 Name of Respondents First Options of Chicago, Inc. and Joseph Bernier REPRESENTATION OF PARTIES For Claimants: Jonathan N. Eisenberg, Esq. of Kirkpatrick & Lockhart, Washington, D.C., and Howard Suskin, Esq. of Jenner & Block, Chicago, Illinois. For Respondents: Marshall E. Hanbury, Esq., and Rose Owen,

N.A.S.D. AMftRD ASSCdMTCK OF hHlHU'mS D3KLHZS, INC. la the Mattsr of the Arbitration Between Vesta Roach and Betty Beardsley and 91-03925 of T-ataimn flllttQQ, Tnr»_ n/k/a. Shearson y^***™™ Brothers, Inc. Gary S. Jefferson and David B. Claimants were T ^y Ti0i ?^ntgri by lianas S* Stone, Esq. of Dover & Little Rock, Arkansas. Respondents were ™"p~?«ntqd by Soott E. Daniel, Esq* of Hllhnrn, Harper, Pruniski & Calboua, Ltd.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Virginia B. Cisco AWARD vs. NASD 91-03924 Name of Respondents Prudential Securities, Inc. James B. Somes Joel B. Srodes For Claimant: Carroll Melton, Arbitration Consultants, Woodland Hills, California. For Respondents: Timothy N. Will, Esq., of Keesai, Young & Logan, Long Beach, California. CASE INFORMATION Stateme

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Leroy Simon Inc. Claimant vs. CASE #91-03922 AWARD Smith Barney, Harris Upham & Co., Inc. Joel Halpern Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 10, 1991, Claimant Leroy Simon Inc. through its counsel Arnold Y. Steinberg, PA, alleged that Respondent Smith Barney

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc. (Claimant) v. Darryl L.Capparelli (Respondent) Case Number: 00-05290 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants First Union Securities, Inc., hereinafter referred to as "Claimant," was represented by Edward A. Walton, Esq., of Kane & Fisher, Ltd., Chicago IL. Respondent Darryl L. Capparelli of Houston Texas, hereinafter re