NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-01465 AWARD In the Matter of the Arbitration Between David R. Epstein Claimant vs. D.H. Blair i Co. Inc. vs. Thomas Gallo Respondent REPRESENTATION In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1992, Claimant David R. Epstein who appeared Pro Se, alleged that in February 1990 Respondent Thomas Gallo, an Account Executive with R

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ronald and Jenny Yakin, (Claimants) vs. Klein, Maus & Shire, Inc., Maurice A. Gross, and Muhamrned Ali Kahn, (Respondents) Case Number: 99-03178 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Ronald and Jenny Yakin, hereinafter collectively referred to as "Claimants": David Wawro, Esq., Torys, New York, NY. Respondents, Klein, Maus & Shire, Inc. ("Klein"), M

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-01460 AWARD In che Maccer of the Arbitration Between Richard H. & Sandy Turner, JTWROS Claimants vs. Edward D. Jones & Co. R. Wesley Harris Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1992, Claimants Richard H. & Sandy Turner who appeared Pro Se, alleged that in May 1987 they purchased 2,000 sh

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-01459 AMARD In the Matter of the Arbitration Between Esther Burstein Claimant vs. Alon R. Winton Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1992, Claimant Esther Burstein, who appeared Pro Se, alleged that Respondent Alon R. Winton made an unsuitable recommendation to purchase 1,000 shares of Sierr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elisabeth Y. Wilson 92-01457 of Shearson Lehman Brothers, Inc. Erik Littlejohn REPRESENTATION For Claimant: Elisabeth Y. Wilson (" Wilson") was represented by Reid Mclnvale. Esq. of Houston. Texas. For Respondent: Shearson Lehman Brothers. Inc. {"Shearson") and Erik Littlejohn ("Littlejohn") were represented by Janiece

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Kent W. and Ann E. Rudesill ;.,-- 92-01451 Name of Respondents Shearson Lehman Brothers, Inc. and Tom Marshall REPRESENTATION OF PARTIES For Claimants at the hearing: Robert E. Woods, Esq. of Briggs and Morgan, Minneapolis, Minnesota. For Respondents at the hearing: J. Jackson, Esq. of Dorsey & Whitney, Minneapolis, Minnesota.

N.A.S.D. AWARD NMTCNAL ASSOdftllCN OF KMLTJRr'V I^S BEHERS In the Matter of the Arbitration Between 92-01450 Gnat Western Financial Securities Corp. Ann NeHberxy Joseph Albayati For Claimant: Dennis Riggi, lam Angeles, For PespnndHnta Great Western Financial Securities Gasp, and Ann ttasaezryt Ntocy j. Nelson, Esq., Great TTmitiiin Financial Securities Corp., ChataNorth, For Respondent Joseph Albayati: Nb ^ir^^'f'""* by Joseph Albayati State

ASSGdflTICN OF SH IH NJLS.D. AWARD DEAE in the Hatter of tba Arbitration Between Sen Corso Name of Raflpondent Dean Witter Reynolds, Inc. Stephen Lim Arbitration No.92-01448 For Claimant: Karl Itolii For Respondentst Janet Inc. , ?fln Francisco r Esq., Smith, Merrill & Peffer, San Ramon, Esq., and Elizabeth Pitt, Dean Witter Reynolds, Statement of Claim riled: April 28, 1392 Claimant's Submission Agreeognt signed on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Andrew A. Lang, Jr. 92-01446 Name of Respondents Wheat First Securities, Inc. Richard S. Kelso REPRESENTATION For Claimant, Andrew A. Lang, Jr. ("Claimant"), Thomas Schuchert, Esq. of Schuchert & Associates located in Pittsburgh, PA. For Respondent, Wheat First Securities, Inc. ("Wheat First"), Scott M. Ratchick, Esq. of

N.A.S.D. AWARD XATIQXAI ASSOCIATION OF SECURITTF3 DF.AI.FRS. IXC. In the matter of the Arbitration Between Name of Claimant Emily DeRham. Trustee of the R. Ian Story Trust NASD Arbitration No.92-01437 Name pt Respondent Eric Azari Pursuant to the parties' stipulation for entry of award against Eric Azari, the undersigned arbitrators hereby agree to the entry of that stipulation, attached hereto, as pan of the award in this matter. Pu