NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between PREMABHAI PATEL, Claimant, v. NASD No. 94-908 SUPPES SECURITIES, Respondent. Representation For Claimant: Donald Roberts, Esq. of Roberts, Hill, Calligan, Bragg & Feeney, Eureka, California For Respondent: Robert Stumpf, Esq. of Bronson, Bronson & McKinnon, San Francisco, California Case Information Statement of Claim filed: February 23, 199

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Vincent Napoleon John Yates Tanya Stamm 94-00907 Baraett Securities Inc. REPRESENTATION For Claimants, Vincent Napoleon ("Napoleon"), John Yates ("Yates") and Tanya Stamm ("Stamm"): Curds Carlson, Esq. of Carlson & Bates, P.A., Miami, Fl. For Respondent, Barnett Securities, Inc. ("Barnett"): Peter W. Homer, Esq. of Homer

NASD Arbitration No. 94-00906 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Julia B. Dexter Name of Respondent(a) BA Investment Services, Inc. REPRESENTATION For Claimant: Joseph E. Sheridan, Esq., Long Beach, California For Respondent: Karen 0. Strauss, Esq., Payne & Fears, Irvine, California CASE INFORMATION Statement of Claim filed: March 8, 1994

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Artritartfoa Between Hilton O. Kann; Karm Repair Company, Inc. 94-00905 WJIM of Respondents Merrill Lynch, Pierce, Feaner & Smith, Inc.; REPRESENTATION' Par rfpJtfmntKr Hilton O. Kara ("Kinn") and Kann Repair Company, Inc. ("Kinn Repair*) wen iepreaented by Leonard J. Meyer, Esq. of Zimmerman, Flaum &. Axdrad. P.C.. located in Houston. Texas. For Respondents: Mart

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles T. Barlow, Jr. 94-00904 x Name of Respondent J.J.B. Hilliard, W.L. Lyons, Inc. REPRESENTATION For Claimant Charles T. Barlow, Jr.("Claimant"): Robert A. Klingler, Esq. of the law firm of Robert A. Klingler, Co., L.P.A., Cincinnati, Ohio For Respondent J.J.B. Hilliard, W.L. Lyons, Inc.("Respondent"): Janet P.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimantfs) Lincoln E. Beck v. NASD Arbitration No. 94-00899 Name nf Respondent^s) Kirsten Bird, Jim Schuster and Bank of America REPRESENTATION For Claimant Lincoln Beck: ProSe For Respondents Bank of America Investment Services, Bank of America National Trust and Savings and Loan, Kristen Bird, and James Schuster: R.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter G. Russo 94-00897 NanjeofResDondent Bear Steams & Company For Claimant Peter G. Russo ("Claimant") appeared Charles F. Brennan, Esq., a sole practitioner located in Garden City, New York. For Respondent Bear Steams & Company ("Respondent") appeared Daniel S. Taub, Esq. of Bear Stearns & Company. CASE INFORMATION S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS *> In the Matter of the Arbitration Between Name of Claimant Jerry C. Lindsey 94-00634 Name of Respondent Edward D. Jones & Co. REPRESENTATION For Claimant: Jerry C. Lindsey ("Lindsey") appeared pro se. For Respondent: Edward D. Jones & Co. ("Jones") was represented by Cynthia A. Doria, Esq. of Edward D. Jones & Co., Maryland Heights, Missouri. CASE INFORMATION Statement o

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Laura S.Novosad and 01-02965 Denver, Colorado Name of Respondents Rocky A. Ghoneim, Block Trading, Inc., Protrader Securities Corporation f/k/a Cornerstone Securities Corporation, Insight Securities & Trading, Inc., Bryan C. Babcock, and Joseph P. Galichia REPRESENT ATTON OF PARTIES Laura A. Novosad ("Claimant") was represented b

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis Goldman, and Sylvia Goldman, Claimants, v. No. 94-00615 Stifel, Nicolaus & Co., Inc., Advest, Inc., Rowland, Simon & Co., and Newhard Cook & Co., Inc.. Respondents. REPRESENTATION OF PARTIES Louis Goldman and Sylvia Goldman ("Claimants") were initially represented by Bruce I. Garfield of Investors Arbitration Services, Inc,