r N.A.S.D. AWARD * NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael O. Mullins 95-00909 Name of Respondents South Richmond Securities, Inc. Rickel and Associates, Inc. Jeff Atamanuk CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 21, 1995, Claimant Michael O. Mullins, who appeared Pro Se, alleged that Respondent Jeff At

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William E. and Yuvonne D. Cornell, JTWROS 95-00907 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. William A. Eichinger CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 21, 1995, Claimants William E. and Yuvonne D. Connell, JTWROS, who appeared Pro Se, alle

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant Robert T. Lempert 95-00906 Name of Respondent John A. Dellamura CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 21, 1995, Claimant Robert T. Lempert ("Claimant"), who appeared Pro Se, alleged that Respondent John A. Dellamura ("Respondent"), on January 17, 1995 he instructed Respondent to sell the securities which he h

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Clayton L. Rudolph, Deborah Wong and the Clayton Rudolph-Henry Philcox Partnership, Claimants, v. Case No. 95-00903 Chatfield Dean & Co., Inc. and Arthur D. Pryor Respondents. REPRESENTATION Claimants were represented by Nicholas P. lavarone, Esq. and Adam K. Hollander, Esq. of Bellows and Bellows located in Chicago, Illinois. Respo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE:00-04581 Martin Gombo, claimant vs. Andrew Louis and Kami Khataunbadi, respondents. ATTORNEYS: Claimant appeared pro se, Lakewood, NJ. Respondent Kami Khataunbadi did not respond to the Statement of Claim. DATE FILED: October 16, 2000 CASE SUMMARY: Claimant alleged that respondents misrepresented information regarding trades made in his account. Claimant contended that respondents made inves

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Fahad M. Al Saja and Nouriah A. Al Hamda Case No. vs. 95-00890 Name of Respondents PaineWebber, Inc. Samir G. Sawabini William F. Kennedy REPRESENTATION For Claimants Fahad M. Al Saja ("Al Saja") and Nouriah A. Al Hamada ("Al Hamada"), collectively referred to as "Claimants", appeared Edward G. Toptani, Esq., a private practioner located in New York,

,MflR. 9. 1993 3=03PM NPSD REGULATION FL N0 .2ba * N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, In the Matter of the Arbitration Between Name of Claimant Helen W. Burbank Case No. 95-00880 P. 15/18 Merrill Lynch Fierce Fenner & Smith, Inc. Scon M. Griswold For Claimant Helen W. Burbank ("Burbank"); Randall W, Henley, Esq. and Joseph D. Farrish, Esq. of West Palm Beach, Florida. For Respondent

NASD Arbitration No. 95-00876 N r A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Kenneth W. Miller Name of Respondent(s) A.S. Goldmen & Company Robert Fox REPRESENTATION For Claimant: Steven Williams, Esq., San Diego, California For Respondents: Phoebe A. Wilkinson, Esq., Chadbourne & Parke LLP, New York, New York CASE INFORMATION Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Statewide Securities Group, Inc. 95-00872 Name nf Respondent^ s) Vikki Ann Ciotti REPRESENTATION For Claimant Statewide Securities Group, Inc. ("SSG"): Robert DeVore, Esq. of the law offices of Robert DeVore, Sarasota, Florida. For Respondent Vikki Ann Ciotti ("Ciotti"): Robert Mudge, Esq. of the law offices of Robert Mudge, Venice,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karen L. Johnson, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Joseph T. Pawelski and David B. Melquist, (Respondents) Case Number: 00-04580 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant Karen L. Johnson, hereinafter referred to as "Claimant": Arthur N. Bailey, Esq., Arthur N. Bailey & Associates, Jamestown, NY. Respondents, Merrill Lynch, Pie