N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William E. Hauser 95-01070 Name of Respondent James F. Motteler CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 1, 1995, Claimant William E. Hauser ("Claimant"), who appeared Pro Se, alleged that Respondent James F. Motteler ("Respondent"), misrepresented investments by not expla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsi Evelyn Katz 95-01061 Name of Respondent(s) Smith Barney Shearson, Inc. REPRESENTATION For Claimant, Evelyn Katz ("Katz 1 '): pro se. For Respondents, Smith Barney Shearson, Inc., ("Smith Barney") and Rheta Raven ("Raven"): Scott Almas (non-attorney) of Smith Barney, N.Y., N.Y. CASE INFORMATION Statement of Cl

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Francine LaPorta and 95-01059 Name of Respondent David A. Noyes & Co. Bruce Parrish REPRESENTATION OF PARTIES Francine LaPorta ("Claimant") was represented by James J. Eccleston, Esq., Uscian & Eccleston, Chicago, Illinois. David A. Noyes & Co. ("Respondent Noyes") and Bruce Parrish ("Respondent Parrish")(collectively

JRN-29-1996 14:06 FROM 12128584141 P.06 NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Valley Of Tb Sun Wireless, TV, foe. Argent Securities., Inc., and L. Philips Reams, Qaimant/Coraterrcspondeat No. 95-01058 Respondents/Counteickimants REPf^ESENTAJION OF PARTIES Valley Of The Sun Wireless, TV, Inc. ('Claimant") was represented by Michael K. Hair, Esq., of Scottsdale, Arizona.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Richard Schmeling, Claimant, and John Hancock Broker Distribution Services, Inc., Respondent. No. 95-01053 REPRESENTATION OF PARTIES Claimant Richard Schmeling ("Claimant") was represented by Patrick T. Berigan, Esquire of Phillips & Gemignani located in Waukesha, Wisconsin. Claimant was previously represented by Mark J. Rogers, Esq. of Ange

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Name of Claimants Terra S. May Tammy S. Schwieder 95-01049 Name of Respondents Cohig & Associates, Inc. John Morris CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 28, 1995, Claimants Terra S* May ("May"), and Tammy S. Schwieder ("Schwieder"}, who appeared Fro Se, alleged that Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Goldie Engel 95-01043 Name of Respondent Datek Securities Corp. REPRESENTATION Goldie Engel appeared pro se. For Respondent: David Jarvis, Esq., from the law firm of Singer, Bienenstock, Zamansky, Ogele & Selengut, LLP, New York, NY CASE INFORMATION Statement of d^.n filed: February 28, 1995. Claimant's Submission Agree

N.A.SJD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marilyn C. Palmersheim 95-01037 Name of Respondent Lori A. Eckstein CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 27, 1995, Claimant, Marilyn C. Palmersheim, who appeared Pro Se, alleged that Respondent, Lori A. Eckstein, executed transactions for her account without authori

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC CASE: 00-00466 Daniel Groobert, claimant vs. Dean Wit Dawn Orr, respondents. Reynolds, Inc., Andrew Balaban, Luis Fogel and ATTORNEYS: Claimant, Daniel Groobert, appeared Pro For Respondents, Dean Witter Reynolds appeared Allison Barry Doneghey, Esq., Se, Boca Raton, FL. Inc., Andrew Balaban, Luis Fogel, and Dawn Orr, Sarasota, FL. DATE FILED: January 28, 2000 CASE SUMMAR

G'4/06/98 MON 14:31 FAX NASD REGULATION ^003 • 'V NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/Counterrespondent Stifel, Nicolaus & Co., Incorporated and Name of Respondent/CQunterclaimant DeWayne R. Vonfeldt 95-01030 Name of Third-Party Claimant DeWayne R. VonFeldt and Name of Third-Party Respondents Mark D. Knott, and Gregory F.