AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bias S. Catalan!, II and Names of Respondents Prudential Equity Group, Inc. MarkW. Kelch Thomas R. Griffin Case Number: 02-04596 Hearing Site: Houston, Texas NATURE OF DISPUTE Associated Person v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Bias S. Catalan!, II ("Claimant") was represented by William H. Ford, Esq., of Ball

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04593 Scott McMichael Name of the Respondent Hearing Site: Tampa, Florida E*Trade Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Scott McMichael, hereinafter referred to as "Claimant", appeared pro se. For E*Trade Securities, LLC, hereinafter referred to as "Respondent": John Bersin, Assistant Genera

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants BT & BB Turakhia Family Ltd. and Bhupendra Turakhia, M.D. and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. d/b/a Merrill Lynch & Co. and Alvin A. Murgai Case Number: 02-04589 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES BT & BB Tur

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter Abashian Name of Respondent First Albany Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc, on February 16, 1995, Claimant Peter Abashian, who appeared Pro Se, alleged that Respondent First Albany Corporation failed to execute a transaction for him. Claimant further alleged tha

11/01/2001 10:33 FAX XASD REGILATIOX 2|002/008 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mahesh Shah;. (Claimant) vs. Josephtbai & Co., Inc. and Mitchell Van Doff, (Respondents) Case Number: 00-03866 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Mahesh Shah, hereinafter referred to as "Claimant": Joseph Sadow, Esq., Attorney At Law, New York, NY. Respondents, Josephthal & Co., Inc. ("Josepht

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nettie Kamsler Rev. Trust Name of Respondents Raymond James & Associates, Inc. Bruce Rhodes 95-00817 1 1 In a claim filed with the National Association of Securities Dealers, Inc. on February 16, 1995, Claimant Nettie Kamsler Rev. Trust ("Kamsler"), who appeared tjllrough its representatives, Jacob and Nettie Kamsler as

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Colleen Budinsky John Budinsky 95-00815 Name of Respondents A.G. Edwards & Sons, Inc. Gerald J. Buckley REPRESENTATION Claimants John J. Budinsky and Colleen Budinsky ("Claimants"), Vanderbilt, Pennsylvania, appeared pro se. Respondent* A. G. Edwards & Sons, Inc. ("A.G. Edwards") and Gerald J. Buckley ("Buckley") were

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS INC. In the matter of the Arbitration Between Name of Claimant^ Clinton D. Beyerle NASD Arbitration No. 95-00812 Name of Respondent(s) Richard Roundtree, Everett Scoville Walker and Cartwright & Walker Securities, Inc. REPRESENTATION For Claimant: For Respondent Richard Roundtree: For Respondents Everett Scoville Walker and Cartwright & Walker Securities, Inc. Clinton D. B

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Eurocapital Group Ltd., and Neftetech International, Claimants. and No. 95-00797 Goldman Sachs & Company, William Miller, Michael Dawson, James Milligan, and Jerome Wattenberg, Respondents. REPRESENTATION OF PARTIES Claimants, Eurocapital Group Ltd. and Neftetech International, were represented by Evelyn V. Keyes, Esquire of Clements

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Howard K. Skavdahl, Claimant vs. Kevin Syila and John Telfer, Respondents. Case Number: 00-03865 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimant, Howard K. Skavdahl, hereinafter referred to as "Claimant": Howard K. Skavdahl, Richland, Washington Respondent, Kevin Syila: Kevin Sylla, Laguna Niguel, California Respondent, John Telfer: John Telfer, Floral