Arbitration National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATICNSEi ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between of Claimant Nbrma Bradford 91-02928 Name of Respondents Legg Mason Wood Walker, Inc Monica Coleman For Claimant: Patrick G. Finnegan, Jr., Esq. For Respondent: Dana N. Pescosolido, Esq.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. A"' CASE: 00-04996 Gerald E. Kloth, claimant vs. Fidelity Investments and Rydex Distributors Inc., respondents. ATTORNEYS: Claimant, Gerald E. Kloth appeared Pro Se, Mequon, WL For Respondent Fidelity Investments ("Fidelity") appeared Colleen A. Hankins, Esq., in-house counsel, Boston, MA. For Respondent Rydex Distributors, Inc. ("Rydex") appeared Christina T. Ng, Esq., of the firm Morg

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jane C. Pearson Claimant vs. Kober Financial Corp. James Rennert Respondents PUBLIC CASE #91-02923 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 20, 1991, Claimant Jane C. Pearson who appeared Pro Se, alleged that Respondent James Rennert strongly solicited her to purchase 2,00

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #91-02922 AWARD In the Matter of the Arbitration Between Norman and Tonia Nisen Claimants vs. Kirlin Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 20, 1991, Claimants, Norman and Tonia Nisen, who appeared Pro Se, alleged that Respondent, Kirlin Securities, Inc. failed to follow their expl

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02919 AHMD In the Matter of the Arbitration Between Brian Gaffney Claimant vs. OTRA Clearing, Inc, Bill Kellman Madison Chapin Associates, Inc. Respondents GASB SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 19, 1991, Claimant, Brian Gaf fney, who appeared Pro Se f alleged that in July, 1991, Respondents,

N.A.S.D. AWARD VS. 91-02905 Name of Respondent A.G. Edwards & Sons, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 19, 1991, Claimant Robert L. Townsend, through his counsel Alexander H. Walker, m, Esq. of Van Wagoner & Stevens, Salt City, UT, alleged that Respondent A.G. Edwards & Sons, Inc. failed to follow his instructions to sell (XMI) October-Put options which he had purchased on th

PUBLIC Arbitration National Association of Securities Dealers, Inc. NASD Rnancia| Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DERLERS New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Q£ Jack Luchs 91-02901 Grossman & Co. Dennis Grossman Claimant Jack Taicha ("Claimant") represented himself. For Respondents: Dennis Grossman represented himself anri Grossman & Co. case S

^ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Stanford and Gail Cohan Case No. 91-02896 Name of Resoondentf s) Jesupjosephtal & Co., Inc. nka JJC Securities Co., Inc. Jeffrey Leach REPRESENTATION For Claimants, Stanford and Gail Cohan ("the Cohans"): Robert Haile, Jr. Esq. of Fleming Haile & Shaw. Respondent, Jesup Josephthal & Co., Inc. n/k/a JJC Securities C

Arbitration National Association c N.A.S.D. AWARD Securities Dealers, Inc NASD Financial Center MATICNAL ASSOCIATION OP SECURITIES DEALERS 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Of Nancy S. Peebles - 91-02889 C£penheiiDer & Co., Inc. Steve Winston For Claimant Nancy S. Peebles ("ClaiiEBnt* 1 ) : .shft appeared pro se. For P *a«aprtnri«an f jg Cppenheiffler & Co

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-04995 PaineWebber Incorporated, claimant vs. John Graves, respondent. ATTORNEYS: For Claimant appeared Lisa A. Catalano, Esq., of the law offices of Joel E. Davidson, Park Ridge, NJ. Respondent appeared Pro Se, East Hampton, NY. DATE FILED: November 10, 2000 CASE SUMMARY: Claimant alleged that respondent failed to pay the unsecured debit balance in his account. Claim Data Aw