NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03059 Rafael Colon, claimant vs. Barington Capital Group, Inc. and Shawn Cantor, respondents. ATTORNEYS: Claimant, Rafael Colon, appeared pro se., Teaneck, NJ For Respondent, Barington Capital Group, Inc., appeared Stuart A. Jackson, New York, NY. For Respondent, Shawn Cantor, appeared Eden L. Rohrer, Esq., New York, NY. DATE FILED: June 11, 2001 CASE SUMMARY: Claimant alleged that

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant John H. Miller, Jr. and 94-01771 Name of Respondent Joseph A. Ondris REPRESENTATION OF PARTIES John H. Miller, Jr. ("Claimant") was represented by Hershel J. Shapiro, Esq., Denver, Colorado. Joseph A. Ondris ("Respondent") was represented by Terence J. Hart, Esq., Hutcheson & Grundy, L.L.P., Dallas, Texas. CASE INFORM

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lillian Link 94-01763 Name of Respondents Dean Witter Reynolds, Inc. William T. Torppey CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 10, 1994, Claimant Lillian Link, through her representatice, Martin J. Gofberg, of Securities Arbitation Centers, Inc., in Fort Lauderdale,. F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard and Susan D'Agostino Susan Flanagan Donald Florence Barbara Grasso Denise Grasso Grasso Construction. Inc. David & Elaine Warwick Award No. vs. 94-01756 Name of Respondents Gilford Securities, Inc. Steven Kashian John Wise Linda Schwartz REPRESENTATION Claimants, Richard and Susan D'Agos

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James R. Miller 94-01753 Name of Respondent Kemper Securities Group, Inc. Representation of Parties Claimant, James R. Miller ("Claimant") was present and was represented at the hearing by Mark J. Rogus, Esq. of Angermeier & Rogers, Milwaukee, Wisconsin. Respondent, Kemper Securities Group, Inc. ("Kemper") was present and was r

NASD AWARD . NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ray A. Smith, and Geraidine Smith, Claimants and No. 94-01752 Shearson Lehman Brothers, Inc., n/k/a Smith Barney Paine Webber Incorporated, Daniel Zessenger, and Prudential Securities, Inc., Respondents REPRESENTATION OF PARTIES Ray A. Smith, and Geraidine Smith ("Claimants") were represented by Edward C. Cody, Esq., St

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jay and Jocelyn Alvarez vs. 94-01750 Name of Respondent Ignatius Teichberg REPRESENTATION Claimants Jay and Jocelyn Alverez ("Claimants") appeared pro se. For Respondent Ignatius Teichberg ("Teichberg") appeared David Robbins, Esq., Kaufmann Feiner Yamin Gildin & Robbins, New York, NY. CASE INFORMATION Jay and Jocelyn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Robert Green NASD Arbitration No. 94-01747 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION For Claimant: Paul W. Thomas, Esq., Carlsbad, California For Respondent: Curt H. Mueller, Esq., Dean Witter Reynolds, Inc., San Francisco, California CASE INFORMATION Statement of Claim filed: May 10,1994 Cl

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Judith K. Marshman and 94-01745 Name of Respondent Prudential Securities, Inc. Stephen R. Kull REPRESENTATION OF PARTIES Judith K. Marshman ("Claimant") was represented by David L. Lee, Esq., Chicago, Illinois. Prudential Securities, Inc. ("Respondent Prudential") was represented by Elizabeth H. Lindh, Esq., Keesal, Young

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hugh Joel and Carlene Wood Kim A. Wright JTWROS 94-01742 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. James Harten CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc., on May 10, 1994, Claimant, Hugh Joel and Carlene Wood and Kim A. Wright JTWROS ("Claimants"), who appeared Pro Se, alle