NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC, CASE: 00-04770 Charles Schwab & Co., Inc., Claimant vs. John L. Wyatt, Respondent. ATTORNEYS: Claimant, Charles Schwab & Co., Inc., ("Claimant"), appeared through its in-house-counsel, Edmund V. Saucedo, Esq., San Francisco, CA. Respondent, John L. Wyatt, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: October 27, 2000 CASE SUMMARY: Claimant alleged that Respondent fa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen Name of Claimant;s) Wast C. Jacobs 90-01102 Name of ppsnnnckant f s) Gene Mackevich Barbara Mackevich In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on April 17, 1990, Claimant West C. Jacobs alleged that Respondents Gene Mackevich and Barbara Mackevich placed $470,000 of his monies in an u

N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of James J. Gaita Name of Resp-mftent-_rs] Wall Street Clearing Co. Wakefield Financial Corp. Michael Carber Alexander Minella Parsons Eng 90-01100 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Heard before the Arbitration Panel:

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant*si Annette C. Glink 90-01098 Name of Respondent^! Carlton Phillips Cenpac Securities Corporation In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about April 17 , 1990, Claimant Annette C. Glink ("Glink") alleged that Respondents Carlton Phillips ("Phillips") and Cenpac Securities Co

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael E. Martin Claimant(s) vs. 90-01096 J.F. Lowe & Co., Inc., J.F. Lowe and Chris Boeckhaus Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Michael E. Martin alleged that Respondent(s) J.F. Lowe & Co. , Inc., J. F. Lowe and Chris Boeckhaus repeatedly advised Claimant that a sell order had been executed when in fact C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In The Matter of The Arbitration Between: BARRY SPERLING AND SONIA SPERLING CLAIMANTS AWARD J90-01091 ADVEST, INC. PETER CALCUTTA JEFF SIEGEL RESPONDENTS CASE SUMMARY Claimants, Barry and Sonia Sperling alleged that they were unsophisticated investors when they were duped into opening an options account at Advest, Inc., using the proceeds of a home equity loan they were encouraged

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Elaine of Claimant. Gary V. Chensoff 90-01089 Mame of Respondent. Bear Stearns & Company In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about April 16, 1990, Gary V. Chensof f ("Claimant") alleged that Bear Stearns & Co. r Inc. ("Respondent") made an unauthorized purchase of shares of Manufactu

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Jfatter of the Arbitration Between ) Name of f!laimanl-rs\ ) George & Merle Keets JTIN ) ) Case No. 90-01088 ) Jeff Davidson ) Jack Westerfield ) ) ) Heard before the Arbitrator: Edwin B. Kagan, Esq. Public This claim was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on April 16, 1990. Claimants, Georg

N.A.S.D. AWARD NOTIONAL ASSOCIKTICN OF SECURITIES DRBERRS In the Matter of the Arbitration Between Windsor Hotel Claimant and 90-01086 Securities Settlement Corporation, First Options of Chicago, Inc. Respondents HH OF Claimant Windsor Hotel was represented by Jeffrey T. Demerath, Esq. of Greensfelder Hanker & Gale P.C., St. Louis, Missouri. Respondent Securities Settlement Corporation, was represented by Bradford L. Jacobowitz, Esq.

* I NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-04762 Charles R. Bradley, claimant vs. Matthew Fletcher, William Mitchell, Jeffrey Layne, Kevin Palmer, Teressa Atkins, Kathy Crosswell, respondents. ATTORNEYS: Claimant appeared Pro Se, North Hills, CA. For Respondents Matthew Fletcher ("Fletcher"), William Mitchell ("Mitchell"), Jeffrey Layne ("Layne") and Kevin Palmer ("Palmer"), appeared Alan E. Greenberg, Esq., of the f