NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Zoltan Balog Claimant vs. Moritz R. Hofstetter A.G. Edwards & Sons, Inc. Respondents CftSB #92-01223 AMARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 8, 1992, Claimant Zoltan Balog, who appeared Pro Se, alleged that Respondent A.G. Edwards & Sons, Inc., through it's registered representat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Jeanne S. Samples No. 92-01221 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Stephen C. Neff REPRESENTATION OF PARTIES For Claimant: David C. Anson, Esq. of DeConcini, McDonald, Brammer, Yetwin & Lacy, Tucson, Arizona. For Respondents: Dennis M. Pape, Esq., Vice President, Office of the General Counsel, Merrill Lynch, Pierce, Fenner & Smith,

'..A.b.D. .-.V.'ARD NATIONAL ASSOCIATION OF SECURITIES DEALERS :n me Matter < >t me .uoirrauon Beween Robert iussman. M.D. 92-01220 Name of Respondent Prudential Securities. Inc. Claimant Roben Sussman. M.D. ("Claimant"): Arthur M. Schwartzstein. Esq. Respondent Prudential Securities. Inc. ("Respondent"): Gilbert Boyce. Esq. of the law firm or Kutak Rock. CASE INFORMATION Statement of Claim filed on: April 6. 1992. Claimant's Submission A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Perenich, Carroll, Perenich, Avril & Caulfield, P.A. 92-01209 Name of Respondents Smith Barney Harris Uphara & Co., Inc. Edward J. Warticki For Claimant, Perenich, Carroll, Perenich, Avril & Caulfield, P.A. ("Perenich"): Henry Sanchez, Jr. , Esq. of Page and Bacek. For Respondents, Smith Barney Harris Upham & Co., Inc. ("S

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nelson R. Herron 92-01208 Name of Respondent Global America. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 7, 1992, Claimant Nelson R. Herron, who appeared Pro Se, alleged that in late August, 1990, he purchased shares of Auto Depot ("AUID") by and through Barry

Arbitration National Association of N A c n AW/ABO Securities Dealers, inc. N.A.S.D. AWARD NASD Financial Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS £" ew York N Y 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Name of Claimant Scott Belodoff 92-01207 Name of Respondents Rosenkrantz Lyon & Ross Michael Eisenberg For Claimant Scott Belodoff ("Claimant"): Bruce Belod

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ellis Beladoff vs. Case # 92-01205 Name of Respondent; Rosenkrantz Lyon & Ross Averal Satloff REPRESENTATION For Claimant: Bruce Beladoff. For Respondent: Robert Moses, Esq., of Josephthal Lyon & Ross. CASE INFORMATION Statement of Claim filed: April 7. 1992. Claimant's Submission Agreement signed on: April 6. 1992.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Alexander & Sonja Kuchkuda Case No. 92-01203 Name of ResoondenUsl J.W. Gant and Associates. Inc. Ronald Jones Adam Tobias REPRESENTATION For Claimants: Alexander Kuchkuda and Sonja Kuchkuda ("the Kuchkudas"): Bradley W. Hogreve, Esq. of Bradley W. Hogreve, P.A. For Respondent. J.W. Gant and Associates, Inc. ("JWG")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Nam.e of Claimant Sidney N. Buka and 92-01200 Name of Respondents Boettcher & Company, a division of Kemper Securities Group, Inc. and Terry Sharp REPRESENTATION OF PARTIES Claimant Sidney N. Buka was represented by Michael W. Lillie, Esq., Englewood, Colorado. Respondents were represented by A. Brad Busscher, Esq. of Boettcher &

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03156 Phil H. Beason, Claimant vs. Scottsdale Securities, Inc., Respondent. ATTORNEYS: Claimant, Phil H. Beason, ("Claimant"), appeared Pro Se., San Francisco, CA. Respondent, Scottsdale Securities, Inc. ("Respondent"), appeared through its' Compliance Manager, Mark Finnegan, St. Louis, MO, DATE FILED: July 12, 1999 CASE SUMMARY: Claimant alleged that Respondent sold 200 shares of