N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rueben Barnett 93-04672 Name of Respondents La Jolla Securities, Inc. CASE SUMMARY In a claim Hied with the National Association of Securities Dealers, Inc. on November 8, 1993, Claimant Rueben Barnett, who appeared Pro Se, alleged that he purchased 10,000 shares of LTV Class C Preferred Stock through Respondent on June 2,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03737 Robert N. Cakes, claimant vs. David L.Rutkoske and Cris Harris, respondents. ATTORNEYS: Claimant, Robert N. Caires, appeared Pro Se, San Diego, CA. For Respondents, David Rutkoske ("Rutkoske") and Cris Harris ("Harris") appeared David E. Graven, Esq., of Counsel, Aurora, CO. DATE FILED: August 21, 2000 CASE SUMMARY: Claimant alleged respondent failed to pay out compensation,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Smith Barney Shearson, Inc. 93-04657 and Name of Respondents Merlin Voorhees & Merlin Voorhees d/b/a Sully County Partners REPRESENTATION OF PARTIES Claimant, Smith Barney Shearson, Inc. ("Smith Barney") was represented at the hearing by J. Jackson, Esq. of Dorsey & Whitney, Minneapolis, Minnesota. Respondents, Merlin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Scottsdale Securities, Inc. 93-04652 Name of Respondent Robert I. Icho CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 8, 1993, Claimant Scottsdale Securities, Inc., through its in-house counsel, Mark Finnegan, St. Louis, MO, alleged that Respondent Robert L Icho, who had open

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard P. Dwyer m 93-04598 Name of Respondents InterSecurities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Nov. 2, 1993, Claimant Richard P. Dwyer HI, who appeared Pro Se, alleged that on July 7, 1993, he directed his broker at Respondent InterSecurities, Inc. to sell 300

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rick Gaines 93-04584 Name of Respondents F.N. Wolf & Co,, Inc. Michael O'Brien John J. Pocock, HI CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 2, 1993, Claimant Rick Gaines, through his representative J. Pat Sadler, Esq. of Sadler & Associates, Atlanta, Georgia, al

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John A. and Elizabeth J. Feroli 93-04576 Name of Respondents Ferris, Baker Watts, Inc. Eugene Kurowski CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 3, 1993, Claimants John A. and Elizabeth J. Feroli, who appeared Pro Se, alleged that Respondent Ferris, Baker Watts, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Frank K. and Elizabeth Parietti 93-04517 Name of Respondents Chatfield Dean & Co., Inc. Kenneth Clark CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 1, 1993, Claimants Frank K. and Elizabeth Parietti, who appeared Pro Se, alleged that Respondents Kenneth Clark and Chatfi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Marlene C. Rutkowski 93-04506 Name of Respondents Olde Discount Corporation J. Scott Treilo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 29, 1993, Claimant Marlene C. Rutkowski, who appeared Pro Se, alleged that she purchased 200 shares of Georgia Power preferred stock

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert & Debra Dourly 93-04487 Name of Respondents Hibbard Brown & Co., Inc. Russell Myrick CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 28, 1993, Claimants Robert and Debra Dourty, through their counsel Gregory D. Kincaid, Esq., Olathe, Kansas, alleged that Respondents