N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name pf Claimants William & Valerie King 94-02278 N_ame of Respondents Newby & Co. Steven T. Newby Mitchell A. Metzman REPRESENTATION For Claimants William and Valerie King ("Claimants"): Arthur M. Schwartzstein, Attorney at Law, Washington, D.C. For Respondents Newby & Co., Steven T. Newby and Mitchell A. Metzman (collectively referred

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jean M. Cummins; IRA Rollover Dated 09/09/98; Jean M. Cummins Trustee of Jean M. Cummins Trust U/A Dtd March 19,1991 Names of the Respondents Morgan Stanley Dean Witter James E. Brooks Case Number 01-03175 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jesus and Gerardo Salazar 94-02272 Name of Respondents Southwest Securities, Inc. David Castellvi David Wallace CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 13,1994, Claimants Jesus and Gerardo Salazar (hereafter "Claimant"), who appealed Pro Se, alleged that Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/.O Laurie R. Porter 94-02270 Name of Respondents) Dean Witter Reynolds Inc. Daniel S. Remigino CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 13, 1994, Claimant Laurie R. Porter appearing Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., through its registered repre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frederic N. Richman 94-02269 NameofResDondents RAF Financial Corporation Robert L. Long CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 13, 1994, Claimant Frederic Richman, who appeared Pro Se, alleged that Respondents RAF Financial Corporation ("RAF") and Robert Long ("Long")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Peter Marko 94-02268 Reynolds Kendrick, Stratum, Inc. H. David Jones CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 15, 1994, Claimant Peter Marko, who appeared Pro Se, alleged that Respondent H. David Jones of the Respondent firm, Reynolds Kendrick, Stratton, Inc. failed to execute a sell order for

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sidney S. Rudman 94-02267 Name of Respondents A.G. Edwards & Sons, Inc. Alex Bigelow CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 15, 1994, Claimant Sidney S. Rudman, through his representative, Jeff Cahn, of PDJ Group, Inc, in Boca Raton, Florida, alleged that Respondents

N^.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William J. Pierce 94-02339 Name of Respondents R.J. Steichen and Company Carl D. Moen REPRESENTATION « For Claimant: William J. Pierce ("Pierce"): David S. Maglich, Esq., of Fergeson, Skipper, Shaw, Keyser, Baron & Tirabassi, P.A., Sarasota, Florida. For Respondent: RJ. Steichen ("RJS"): Steven E. Rau, Esq., of Rau & Flo

N A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James W. Givens 94-02329 Name of Respondents Lovett Underwood Neuhaus & Webb, Inc Buddie C. Ballard, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 10, 1994, Claimant James W. Givens ("Givens"), through his representative Paul N. Young, CEO, of Securities Arbitration Grou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gregory J. Harnyak 94-02328 Name of Respondents A.T. Brod Donald Stunoff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 20, 1994, Claimant Gregory J. Harnyak, who appeared Pro Se, alleged that Respondent Donald Stunoff of the Respondent firm A.T. Brod began trading SEP 100 index, CBOE options in