N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Matt Kennedy 94-00973 NaineofRfiSoondentfs} Josephthal Lyon & Ross, Inc. Ralph Wood For Claimant Matt Kennedy ("Claimant") appeared J. Pat Sadler, Esq., of the law firm of Sadler & Associates, located in Atlanta, Georgia. For Respondents Josephthal, Lyon & Ross, Inc. ("Josephthal") and Ralph Wood ("Wood") appeared Robert

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joan Russo 94-00972 Name of Respondent Educators Financial Management Matthew Leo REPRESENTATION For Claimant: Christopher W. Critelli, Esq., Garden City, New York. For Respondents: Matthew R. Leo, Sedona, Arizona. CASE INFORMATION Statement of Claim filed: February 1, 1994. Claimant's Submission Agreement signed on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant lames Gibbings 94-00969 Name of Respondent Olde Discount Corporation REPRESENTATION^ For Claimant: James Gibbings ("Gibbings") was represented by Cheryl D. Bloom, Esq. of Bloom and Bloom, P.C., located in Farmington Hills, Michigan. For Respondent: Olde Discount Corporation ("Olde") was represented by Timothy H. Hewlett, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between » Name of Claimant (s) Yeh-Hua Peter Chuan of Resondent (g) NASD Arbitration No. 94-00968 Kennedy, Cabot & Co. REPRESENTATION For Claimant: Yeh-Hua Peter Chuan, Santa Monica, California For Respondent: George Kupper, Esq., Kennedy, Cabot & Co., Beverly Hills, California CASE INFORMATION Statement of Claim filed: March 9, 1

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant R.J. Steichen & Company, Inc. 94-00965 Stipulated Award Name of Respondent Peter N. Voldness Representation of Parties Claimant, R.J. Steichen & Company ("Steichen") was represented by Seth M. Coltoi^ Esq. of Maun and Simon, St. Paul, Minnesota. Respondent, Peter Voldness ("Voldness") was unrepresented. Infor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant William R. Bray 94-00963 Names of Respondent McDonald & Company Securities, Inc. REPRESENTATION Claimant, William R. Bray ("Bray") was represented at the hearing by Mark Briol, Esq., and Gregory L. Wilmes, Esq., of Briol & Wilmes, Minneapolis, Minnesota. Respondent McDonald & Company Securities, Inc., ("McDonald") was rep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dona}d Weiss v. Merrill Lynch, Pierce, Fenner & Smith Case Number: 01-02982 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: Donald Weiss In Pro Per Las Vegas, Nevada For Respondent: Daren A. Luma, Esq. Merrill Lynch New York, New York CASE INFORMATION Statement of Claim filed: June 4, 2001 Claimant's Uniform Submission Agreement signed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ..-.. . p Name of Claimant Gayle Kurk 94-00961 Name of Respondent Thomas DeLaHunt Claimant Gayle Kurk appeared pro se. Respondent Thomas DeLaHunt appeared pro se. CASE INFORMATION Claimant Gayle Kurk's Statement of Claim was filed on November 4, 1993. Claimant Gayle Kurk's Submission Agreement was signed on March 10, 1994. Respondent Th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants • Ben and Bettina Myers 94-00960 Name of Respondents The Ohio Company Richard Eastburn REPRESENTATION Claimants, Ben and Bettina Myers ("Claimants"), appeared pro se. For Respondents, The Ohio Company and Richard Eastburn ("Respondents"), appeared James A. Francis, Esq. from The Ohio Company, located in Columbus, Ohio.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS J In the Matter of the Arbitration Between Name of Claimant David I. Milner 94-00957 NaineofResDonjIgnl Hanifen, Imhoff Inc. CASE SUMMARY In a claim filed with the NASD, Inc. on March 11, 1994, Claimant David I. Milner, who appeared Pro Se, alleged that on March 11,1994, alleged that Respondent Hanifen, Imhoff, Inc. misplaced a portion of the funds in his IRA account. Claimant fur