AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ann F. Cogswell and 93-03370 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Ben D. Trevor REPRESENTATION OF PARTIES Ann F. Cogswell ("Claimant") was represented by John M. Cogswell, Esq., Denver, Colorado. Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent MLPF & S") and Ben D. Trevor ("Respondent Trevo

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Malta- of the Arbitration Between BARBARA GOLDSTEIN, Claimant, v. NASD No. 93-3368 RICHARD CARSON and GREAT AMERICAN SECURITIES. INC., Respondents. Representation For Claimant: Edward Russey, Esq. of Investors Arbitration Services, Woodland Hills, CA For Respondent Richard Carson and Great American Securities: Richard Pech, Esq. and Neil Anapol of Law Offices of Richard Pech, Los An

N.A.S.D. AWARD • NATIONAL ASSOCIATION OF SECirRTTTCS DFAJ,ERS. INC. In the matter of the Arbitration Between Name Qf (Claimant Alfred R. Willinger NASD Arbitration No. 93-03314 Name of Respondents Cruttenden & Company Tibor Komoroczv REPRESENTATION For Claimant: Paul W. Thomas, Esq. - Carlsbad, California For Respondents: John R. Loftus, Esq. - Keesal Young &'Logan • Long Beach, California CASE INFORMATION Statement of Claim file

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert J. Dwyer, Sr. 93-03313 Name of Respondents Gilford Securities, Inc. Ralph Worthington CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 24, 1993, Claimant Robert Dwyer, Sr., who appeared Pro Se, alleged that Respondents Gilford Securities, Inc. and Ralph Worthington dis

N.A.S.O. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS Janet McKinney, Claimant, v. No. 93-03311 Merrill Lynch, Pierce, Fenner & Smith, Inc., and James Roy Schellinger, Respondents REPRESENTATION OF PARTIES For Claimant Janet McKinney ("Claimant"): Clark W. Mason, Esq., and , Esq., and Gary Barkett, Esq., of the Davidson Law Firm, LTD., Little Rock, Arkansas. For Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jame

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In ige Matter of the Arbitration Between Rodney Rush Claimant, v. NASD No. 93-3310 Gruntal and Company, Inc. and Mark Sitzer, Respondents. Representation For Claimant: Robert Biegler, Esq. of He&er, Stark & Marois, Sacramento, California For Respondents: Emilia De Meo, Esq. of Gruntal & Company, New York, New York Case Information Statement of Claim filed: August 18, 1993 Claimant'

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00883 Marion Bass Securities Corporation, claimant vs. Raymond R. Blum, respondent. ATTORNEYS: For Claimant appeared Dana C. Siragusa, Esq., Atlanta, GA. Respondent appeared Pro Se., Cabins, WV. DATE FILED: February 29, 2000 CASE SUMMARY: Claimant alleged that respondent was unjustly enriched from the proceeds of Canadian Securities mistakenly transferred into his account. Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael Rios 93-03309 Name of Respondents Jeffrey Brooks Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 23, 1993, Claimant Michael Rios, who appeared Pro Se, alleged that he entered into an agreement with Respondent Jeffrey Brooks Securities Inc. whereby C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert B. Kaplan 93-03308 Name of Respondents Michael P. Black Titan/Value Equities Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 24, 1993, Claimant Robert B. Kaplan, who appeared Pro Se, alleged that he purchased American Balance Fund and Fundamental Investors

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between p • > r? • i p Name,of Claimant).s) rou^tO Otto Ham 93-03297 Name of Respondent s) CC & Q Investors Diversified Co. Darnell Davis Roxanne Thompson Robert F. Craig REPRESENTATION The Claimant appeared pro se. The Respondents appeared pro se. CASE INFORMATION Statement of Claim filed: August 20. 1993. Amendment to Statemen