Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Helen M. Leff Case No. 99-03062 Names of Respondents Raymond James & Associates, Inc. William Hoyt REPRESENTATION OF PARTIES For Claimant: Stephen A. Baker, Esq. of Allan & Shipp, P.A., St. Petersburg, FL. For Respondents: James D. Sallah, Esq., Associate Corporate Counsel, Raymond James & Associates, Inc., St. Petersburg, FL. On April 20, 2000, Frederi

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Kenneth M. Seaton and 92-00490 Name of Respondents Prudential Securities, Inc. William McCall REPRESENTATION OF PARTIES Kenneth M. Seaton ("Claimant") was represented by James W. Panis, Esq., Bernstein, Stair & McAdams, Knoxville, Tennessee. Prudential Securities, Inc. and William McCall ("Respondents") were represented b

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Geraidine Fallot 92-00396 Name of Respondent James Scovic For Claimant: Nathaniel Abbatte, Jr., Esq. of Garratt & Evans, P.C. For Respondent: Brian Zahra, Esq. of Dickinson, Wright, Moon et. al. CASE INFORMATION Statement of Claim filed: January 28, 1992. Claimant's Submission Agreement signed on: January 28, 1992. Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALEST In the Matter of the Arbitration Between Name of Claimants ) Peggy and Boyd Black Case No. 92-00387 Name of Respondents) Profile Investments Corporation OTRA Clearing Inc. REPRESENTATION For Claimants, Peggy and Boyd Black ("the Blacks"): Howard N. Kahn, Esq. of Atlas, Pearlman & Trop, P.A. For Respondent, Otra Clearing, Inc. ("Otra"): Scon G. Monson. Esq. of Otra. Respondent,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants W. Fox & Company, Inc.: Eric Hilton. Jr. and Don Weiler 92-00383 Name of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc.; Don Spivey REPRESENTATION For Claimant: W. Fox and Company, Inc., Eric Hilton, Jr. and Don Weiler were represented by Joseph A. McDennott, m, Esq. of Soape Brown McDermott, located in Houston. Te

NRUCNAL ASSOCIAirCN OF N.A.S.D. AWARD DEALERS In tba Matter of the Arbitration 92-00382 Adams Securities, Inc. Janes W. Adams Daniel Ferry Erik Peterson For Claimant: Paul W. "Haanas, Esq., For Respondents James W. Adams and Daniel Perry: H Tbcnas Febn, Esq., Fields, Febn 6 Sberwin, Los Angeles, f>1if«••**» For Respondents Adams Securities, Inc. and EriJc Peterson: Mb Appearance by Respondents Adams Securities, Inc. and Erik Peterson

N.A.S.D. AWARD NKTICNRL ASS&lfflD ;CH OP SECURITIES In the Matter of the Arbitration Between } Paul Bsrorstron Arbitration National AaaedatJon of Sacuritta Dacltft. inc. Of* East Browart Boulevard Suite 1000 Ft. Lauoerdale. Rorida 33301 (305) 522-7391 Mb. 92-00381 Herrill Lynch, Pierce Fever b Staith mo ) Stephen Ooger } For Claiioant, Paul Broratren ("Brorstram") t ppo 99. Pear KoapondKita, Hezrill Lynch, Pierce, F*m

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants R. Steve Crowder Cobra Oil Company Little River Energy Company 92-00377 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimants at the hearing: Gretchen Z. Kennedy, Esq. of Day Hewett & Federman. Oklahoma City, Oklahoma. For Respondent at the hearing: John Bevilacqua, Esq. of Shearson Lehman Brot

NATIONAL ASSOCIATION OF SECURITIES DEALERS, IXC. CASE #$2-00373 AWARD In che Matter of the Arbitration Between William A. Sharplin, Sr. Claimant vs. Kennedy, Cabot & Co. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1992, Claimant William A. Sharplin, Sr., who appeared Pro Se, alleged that in August 1987 he rolled over a tax sheltered annuity into an IRA account with

NATIONAL ASSOCIATION OF SBCDRTTIBS DEALERS, INC. In che Matter of the Arbitration Between Scott & Tina Karlebach Claimants CASE #92-00372 AKAED VB. Josephchal, Lyon & Ross, Inc. Respondent CASE STMCUtY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1992, Claimants Scott &. Tina Karlebach who appeared Pro Se, alleged that on November 19, 1991 they each acquired 175 shares of Beazer PLC-ADR's