N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara Lee 93-03498 Name of Respondent Walter J. Marvin For Claimant: Claimant appeared pro se. For Respondent: Paul M. Collins, Esq. of Hinman, Straub, Pigors & Manning, P.C., Albany, New York. CASE INFORMATION Statement of Claim filed: September 20, 1993. Claimant's Submission Agreement signed on: September 17, 1993.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Phillip J. Nessler 93-03496 Name of Respondent Dickinson & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 7, 1993, Claimant Phillip J. Nessler, who appeared Pro Se, alleged that on December 4, 1992, Mr. Steven Shipley of Respondent Dickinson & Co. called him to propose t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02681 Jimmie Johns, claimant vs. Lee Brooks, respondent. ATTORNEYS: Claimant appeared pro se, Springdale, AR. Respondent appeared pro se, Springdale, AR. DATE FILED: May 22, 2001 CASE SUMMARY: Claimant alleged that respondent traded stocks in his account without his knowledge or authorization. Claimant maintained that the unauthorized trades created a loss in his account. A

N.A.S.D. AWARD \ ^^ ' ^» ^~ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cl' Edward A. Alden & Catherine E. Alden Case No. 93-03491 Name of Respondent First of Philadelphia Investment Group, Inc. REPRESENTATION For Claimants, Edward and Catherine E. Alden ("the Aldens"): John W. Berry, Esq. New Port Richey, Florida. For Respondent, First of Philadelphia Investment Group, Inc. ("FPIG"): pro s

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William M. McCarty and Janice E. McCarty 93-03486 Name of Respondents Kathleen C. Peer Kavanaugh Securities, Inc. Commonwealth Equity Services, Inc. REPRESENTATION For Claimant: Roland M. Cavalier, Esq. of Harris Beach & Wilcox located in Albany, New York. For Respondents: Thomas G, Nicholson, Esq. of Finneran & Nichol

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Lafayette L. Draper, Claimant, v. No. 93-03485 Prudential Securities Incorporated, Respondent REPRESENTATION OF PARTIES Jef Feibleman. Esq., of Burch, Porter & Johnson, Memphis, Tennessee, represented the Claimant, Lafayette L. Draper ("Claimant"). Robert S. Getman, Esq., Vice President, Associate General Counsel, Prudenital Securities Incorporated ("Respondent") represented the Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Susan Sedlak 93-03484 Name of Respondents Merrill Lynch, Pierce, Fenner. & Smith, Inc.; Peter L. Colletti ! •. ••• REPRESENTATION For Claimant: Susan Sedlak ("Sedlak") -was represented by Bruce R. Nichols, Esq. and Robert L. Hindelang, Esq. of Nichols & Long, P.C., located in Grosse Pointe, Michigan. For Respondents: Merril

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Charles L. and Miriam A. Williams 93-03469 Name of Respondents James John Monteleone Aleksandr Shvarts Reynolds Kendrick Stratton, Inc. REPRESENTATION For Claimants Charles L and Miriam A. Williams ("Claimants"): Robert J. Donaghy, Attorney at Law For Respondent: James John Monteleone ("Monteleone"): Edward R. Curtin,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George W. GUI 93-03468 Name of Respondent PaineWebber, Inc. REPRESENTATION For ClaL-nant, George Gill ("GUI"): William Robert Leonard, Esq. of the law office of William Robert Leonard, Ft. Lauderdale, Florida. For Respondent, PaineWebber, Inc. ("PW"): Evan J. Charkes of PaineWebber, Inc., Weehawken, New Jersey. CASE INF

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC In the matter of the Arbitration Between Name of Claimant PaineWebber, Inc. NASD Arbitration vs. #93-03466 Name of Respondent Kenneth M. Haines REPRESENTATION For Claimant: Catherine J. Pratt, Esq., PaineWebber, Inc., Los Angeles California For Respondent: Milton D. Rosenberg, Esq., Rosenberg and Rosenberg, Los Gatos, California CASE INFORMATION Statement of Claim filed