NASD REGULATION, INC, AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Prudential Securities Incorporated Case No. 84-01571 of Respondent Raul Larios P PRTIES For Claimant Prudential Securities Incorporated CPSl"): Mark S. Dobin, Esq. of the law firm of Boose Casey CiWin Lubftz Martens MeBane & O'Connell, West Palm Beach, Florida, For Respondent Christopher M. David, Esq. of the law firm of Hai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Daniel C. Thorn and Sharon Kay Thorn 94-01569 Name of Respondents and Third Party Claimants First Affiliated Securities; Jonathan E.S. Bekhor; Lisa Roth; Mark Dransfield Name of Third Party Respondents Rose Securities Corp.; Roger Peavey; Mitchell A. Witt REPRESENTATION For Claimants: Daniel C. Thorn and Sh

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Raymond and Jeanne Rothberg Names of Respondents Acument Securities, Inc. f/k/a Thomas F. White & Company, Inc., Mintz Asset Management, Inc. and Charles Lewis Bloom Case Number: 01-03023 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES Raymond and Jeanne Rothberg, hereinafter referred to as "Claimant": Russell C. Silverglate, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between «. Name of Claimants) Rod Rinker v. Name of Rqspondentfs) H.J. Meyers & Co., Inc. REPRESENTATION Claimant represented himself. Respondent: Robert A. Uhl, Esq., Los Angeles, California CASE INFORMATION Statement of Claim filed: April 22,1994 Claimant's Submission Agreement signed: April 1,1994 Statement of Answer filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David E. Harlan 94-01547 Name of Respondents Dean Witter Reynolds, Inc. Ken Horn CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1994, Claimant, David E. Harlan, who appeared Pro Se, alleged that Respondents, Dean Witter Reynolds, Inc. ("DWR") and Ken Horn ("Horn"), e

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marno of Carol L. (Irion) Neely 94-01544 o Rendents Prudential Securities, Inc. David R. Davis In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1994, Claimant Carol L. (Irion) Neely, who appeared pro se, alleged that Respondents Prudential Securities, Inc. ("PSI") and David R. Davis ("Davis"), misr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ^Claimants Ronald J. Small CAC Corporation CASE NO. 94-01539 Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION Claimant, Ronald Small, ("Small") appeared pro se. For Claimant, CAC Corporation, ("CAC"), Mr. Ronald Small. For Respondent, Fidelity Brokerage Services ("Fidelity"), Ann-Marie Dever, in house counsel.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name* of the Claimants fa^p Number- 01-03021 Harold and Arlene Robinson Name nf Re^ondente Hearing .'site- Philadelphia, PA Salomon Smith Barney, Inc. and Stewart Vockel, HI RF.PRF.SFNTATTON OP PAttTTFS Claimants Harold and Arlene Robinson, hereinafter collectively referred to as "Claimants", were represented by Michael Dubin, Esq., Semanoff, Ormsby, Greenberg & T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barbara and Phillips Gips Award No. vs. 94-01601 Name of Respondents Kidder, Peabody & Co., Incorporated David Ian Palmer John Loring Swasey, Jr. William Francis Kennedy REPRESENTATION For Claimants, Barbara and Phillips Gips ("Claimants") appeared Thomas J. Hanrahan, Esq., located in New York City, New York. F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Richard J. Gallagher 94-01595 Name of Resoondentfs') Donald Williams Curtis Hammond CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1994, Claimant Richard J. Gallagher, who appeared pro se, alleged that Respondents Donald R. Williams ("Williams") and Curtis Hammond