N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Gillette 94-00216 Name of Respondents Olde Discount Corporation Steve Weidemann CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 19, 1994, Claimant John Gillette, who appeared pro se, alleged that Respondents Olde Discount Corp. ("Olde") and Steve Weidemann ("Weidemann"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Claimant Steven Kroft Case No. v. 93-04281 Respondent Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION For Claimant, Steven Kroft ("Claimant"), Donald Schneider, Esq. from the law firm of Feltman, Karesh, Major and Farbman located in New York, New York. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc. ("Respondent"), Brian Am

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the maner of the Arbitration Between LAUREN S. SOLL, Claimant, v. NASD No. 93-03478 ROSE SECURITIES CORPORATION, WILLIAM A. GOLDSMITH and ALAN S. BIRD Respondents. Representation For Claimant: Bruce Spear, Esq. of Herring, Spear & Loftus, San Diego, California For Respondent: James L. Sanders, Esq. of Sheppard, Mullin, Richter & Hampton, Los Angeles, California Case Information

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02303 Stephen Fortunoff and Madeleine Fortunoff, claimants vs. Josephthal & Co, Inc., respondent. ATTORNEYS: For Claimants Stephen Fortunoff and Madeleine Fortunoff ("Claimants"), Charles W. Austin, Jr., Esq., Richmond, Virginia. For Respondent Josepthal & Co., Inc. ("Respondent"), John Bersin, Esq., Associate General Counsel, Josephthal & Co., Inc., New York,

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Phelps Industries, Incorporated and Case Number 93-03427 Names of Respondents Merrill Lynch, Pierce Fenner & Smith, Incorporated, William B. Jolly and Emmett Beard REPRESENTATION OF PARTIES, Phelps Industries, Inc. ("Claimant") was represented by Ivo Phelps. Merrill Lynch, Pierce Fenner & Smith, Inc. ("Respondent"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Doris Edelman Case No. 91-03244 Name of Respondent(s) Prudential-Bache Securities Inc. REPRESENTATION For Claimant, Doris Edelman ("Edelman"): Jan Douglas Atlas, Esq. and Howard N. Kahn, Esq. of Atlas, Pearlman and Trop, P.A. For Respondents, Prudential Securities, Inc. ("Prudential"), Patrick Finley ("Finley") and Alviji

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Eric Wallenstein 93-03175 Name of Respondent^ Suppes Securities, Inc. First Madison Securities, Inc. For Claimant: Jeffrey Richards, Esq., New York/ NY. For Respondent Suppes Securities, Inc.: Edward F. Duffy, Esq., New York, NY. For Respondent First Madison Securities, Inc.: Robert F. Bond, Esq. CASE INFORMATION

N.A.SJX AWARD NATIONAL ASSOCIATION 0F SECURITIES DEALERS la tteMal» of tte Arbitration {Between Rdwiwt H KoeUer, Jr. 93-02903 MeniD Lynch, Pfcrcc. Fenner $ Smith,, IDC. Par Claimant' Edward H. Kodak , Jr. ("Kochler") was represented by Murray Pogtar, Bag, ant C. Thomas Krusc, Esq. of McOade & Fogkr, L.L.P., looted in Homtoo, Texas. : Merrill Lynch, Itece, PeaattA Smith, Inc. (*MezriII Lynch*) was by Rood! B. Stubird, E&q. of tfMa&Bnan, LXJ. , locate

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gilbert Bornstein Case Number 93-02746 Name of Respondent Eugene Grin REPRESENTATION For Claimant Gilbert Bornstein (hereinafter referred to as "claimant") appeared Michael O'Leary, Esq., Fort Lee, New Jersey. Respondent Eugene Grin (hereinafter referred to as "respondent") appeared pro se. CASE INFORMATION The Statemen

NATIONAL ASSOCIATION OF SECURITIES DEALERS NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Marvin H. Hayes and Mary E. Hayes, husband and wife. Claimants No.93-02270 ORDER/AWARD Stuart James Investment Bankers, a Colorado Corporation; Paradise Valley Securities, an Ari7.ona corporation: First American Biltmore. an Arizona corporation: Franklin-Lord. Inc.. an Arizona corporation: