NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03271 Mary Jo Tonelli, claimant vs. First Union Securities, Inc., John Edward Nadelman, and Brad Brooks, respondents. ATTORNEYS: Claimant appeared Pro Se, Sherman, TX. For Respondents appeared Vice President and Associate Counsel, James A. Vollins, Esq., First Union Securities, Inc., Charlotte, NC, DATE FILED: August I, 2000 «- CASE SUMMARY: Claimant alleged that respondent

I NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-00171 Everen Securities, Inc., Claimant vs. Frederic David Pinsler, Respondent. ATTORNEYS: For Claimant, Everen Securities, Inc. ("Claimant"), appeared Diane C. Fischer, Esq., of the firm Gomberg, Kane & Fischer, Ltd., Chicago, IL. For Respondent, Frederic David Pinsler, ("Respondent"), appeared Steven Robert Verr, Esq., McHenry, IL. DATE FILED: January 13, 1999 CASE SUMM

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant James Brenny and ~ 99-00168 Name of Respondents Josephthal & Co., Inc. James Ryan James Brenny ("Claimant") was represented by Thomas H. Goodman, Esq., Siege! Brill Greupner Duffy & Foster, PA, Minneapolis, Minnesota. Josephthal & Co., Inc. ("Respondent Josephthal") and James Ryan ("Respondent Ryan") (collectively as "Respondents") were represented by J

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Harold Slotnick Name of Respondent Donald Bashkin NASD Case No. 99-00167 Hearing Location: Philadelphia, PA REPRESENTATION OF PARTIES Claimant Harold Slotnick ("Claimant") appeared pro se. Respondent Donald Bashkin ("Respondent") was represented by Theodore J. Dragon, Esq. of Carnegie Investor Services, Inc. CASE INFORMATION » Statement of C

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: The Moran Fund LP, Claimant vs. Discover Brokerage Direct, Inc., Respondent. Case Number: 99-00166 Hearing Site: Salt Lake City, Utah Claimant, The Moran Fund LP, hereinafter referred to as "Claimant": Amedee D. Moran, Salt Lake City, Utah Respondent, Discover Brokerage Direct, Inc. ("Discover Brokerage"), hereinafter referred to as "Respondent": Robert Sullwold, Esq., Sullwold & Hugh

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ej" 99-00159 Kenneth P. Hill; Kenneth & Dorothy Hill and Marlene Juren; and Estate of Verlee Hill "f the Respondents Hearing-Site: Dallas, Texas Richard J. Zimmer; Addison Securities Inc.; and Brookstreet Securities Corp. OFPAPTTFS Claimants Kenneth P. Hill; Kenneth & Dorothy Hill and Marlene Juren; and the Estate of Verlee Hill, hereinafter referred to as "Claim

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Milton Hirsch, (Claimant) vs. Hornhlower & Weeks, (Respondent) Case Number: 99-00152 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Milton Hirsch, hereinafter referred to as "Claimant": Seth T. Taube, Esq., McCarter & English, LLP, Newark, NJ. Respondent, Hornblower & Weeks, hereinafter referred to as "Respondent": Peter Campitiello, Esq., Spinelli & Associates, Ne

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: PaineWebber v. Danforth E. Holley Case Number: 99-148 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant PaineWebber, Inc. ("PaineWebber"), hereinafterreferred to as "Claimant": Sandra D. Grannum, Esq., PaineWebber, Inc., Weehawken, New Jersey. Respondent, Danforth E. Holley ("Holley"), hereinafter referred to as "Respondent": David M. Foster, Esq., Farmington

In the Matter of the Arbitration Between: Name of the Claimant Jean H. Stuart Names of the Respondents First Associated Securities Group Carl D. Martellaro First Securities USA, Inc. Anthony Martellaro Ted Bryson Case Number: 99-00144 Hearing Site: Tampa, FL REPRESENTATION OF PARTIES For Jean H. Stuart, hereinafter referred to as "Claimant": Allan J. Fedor, Esq., the Law Offices of Fedor & Fedor, Largo, FL. For Respondent First A

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Barbara Cesmat, (Claimant) vs. Salomon Smith Barney, Alan Griffin and Phil Butts, (Respondents). Case Number: 99-00143 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Barbara Cesmat: Steven Glaser, Esq., Gelfand Rappaport & Glaser, Los Angeles, California. Salomon Smith Barney Inc. ("SSB") and Alan Griffin: Harry T. Walters, Esq., Salomon Smith Barney Inc., New