Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John C. Powell and John C. Powell, M.D., P.S.C., Claimants Vs. Case Number: 00-03809 Preston Langley Asset Management, Inc., J.B. Oxford & Company, Marlowe Holdings, LLC, Gregg Adams, Robert W. Lisnoff, Jr., Christopher Russo, and Nathaniel Ian Shapinsky, Respondents Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimants John C.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan Grodko (Claimant) vs. Montrose Management, Ltd., and Alexander, Westcott & Co., Inc., (Respondents) Case Number: 01-00283 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant Alan Grodko hereinafter referred to as "Claimant" appeared pro-se. Respondent Alexander, Westcott & Co., Inc., hereinafter referred to as "Al

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stephen J. Tutt 92-03641 Name of Respondents Schneider Securities, Inc. Joni L. Merwin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 28, 1992, Claimant Stephen J. Tutt, who appeared Pro Se, alleged that on June 24,1991 Respondent Joni L. Merwin, an Agent with R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the .Arbitration Between Name pf CjaimantCsl Suzanne Brower Jeff Brower NASD Arbitration No.92-03640 Name of Respondent si Alan Tout! Gruntal & Co., Inc. REPRESENTATION For Claimant: Jeffrey Brower For Respondents: Kimberly linger - Gruntal & Co., Incorporated, New York, NY. CASE INFORMATION Statement of Claim filed: October 27, 1992 Claimant

N.A.S.D. REGULATION, INC STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant J. D. Prince 92-03638 Name of Respondent Oppenheimer & Co., Inc.; John P. Fitzgerald REPRESENTATION For Claimant: J.D. Prince ("Prince") was represented by Thomas K. Potter III, Esq., of Jones, Walker, Waechter, Poitevent, Carrere & Denegre, located in New Orleans, Louisiana. For Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Doris Lee Bradley vs. NASD #92-03623 Name of Respondent Dean Witter Reynolds, Inc. For Claimant: Eric H. Brandenburg and Larry Brandenburg of Monterey, California For Respondent: Curt H. Mueller, Esq. of Dean Witter Reynolds, Inc. of San Francisco, California. CASE INFORMATION Statement of Claim filed: October 27, 1992

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John M. Falzone Case No. 92-03622 Name of Respondents Shearson Lehman Hutton, Inc. Prudential-Bache Securities Inc. Patricia M. Bottoms For Claimant, John M. Falzone ("Falzone") Marvin Schiller, Esq. of Raleigh, N.C. For Respondent, Shearson Lehman Hutton, Inc. ("Shearson"): Gary B. Sieber, Esq. of Shearson Lehman Hutton, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Gary Rulli NASD Arbitration No. 92-03621 Name of Respondents Atlanta-One, Inc. Brian Moore Paul Courtright Mark Piskura REPRESENTATION For Claimant: Richard Sacks, Investors Recovery Service For Respondent: Robert L. Conn, Esq. - Newport Beach, California CASE INFORMATION Statement of Claim filed: October 26, 1992

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ropohl Family Trust, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Donald W. Smith, Respondents Case Number: 01-92484 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondents: James P. Delphey, Esq. Seltzer Caplan McMahon Vftek San Dieg

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James G. and Janis L. Zook 92-03614 Name of Respondent J.W. Gam and Associates. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 26, 1992, Claimants James G. and Janis L. Zook, who appeared Pro Se, alleged that on May 6, 1992 they opened an account with Responde