Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leila C. Jenkins, (Claimant) vs. Nutmeg Securities, Ltd. and Matthew K. Rochlin, (Respondents) Case Number: 01-02480 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Leila C. Jenkins, hereinafter referred to as "Claimant", appeared pro se. Previously represented by: Richard C. Fooshee, Esq., a sole practitioner, New York, NY. Respondents, Nutmeg Securit

.-.WASP In -r.e matter of the Arbitration Between .Jame ^f C'laimanc ! s ; Robert L. Sricxman NASD Arbitration No. 92-03502 Name r>£ Respondent; ( a > Bear Stearns & Co . , Inc . Bernard Heliport For Claimant: Jeff Dennis Ferentz, Esq. and Michael Huberman, Esq., Greenbaum and Ferentz, Newport Beach, California For Respondents: Philip McLeod, Esq., Keesal, Young & Logan, Long Beach, California Statement of Claim filed: October 8,

FJ2L1C N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NanTe_ofClaiinants James and Suzanne Sears 92-03501 Name of Respondents Ribband Brown & Co., Inc. Michael S. Blank CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October IS, 1992, Claimants James A. and Suzanne M. Sean, who appeared Pro Se, alleged that they purchased 15,000 shares of A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants Richard and Jean Foley No. 92-03500 Names of Respondents Shearson Lehman Brothers, Inc. and David Jacobson REPRESENTATION OF PARTIES Claimants, Richard and Jean Foley appeared Pro Se. Respondents, Shearson Lehman Brothers and David Jacobson were represented by Samuel A. Turvey, Esq., Shearson Lehman Brothers, Ne

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name or Claimant Louis Shaw and 92-03497 Name of Respondents Shearson Lehman Brothers. Inc. ,md Thomas Allev REPRESENTATION OF PARTIES Louis Shaw ("Claimant") was represented by Michael W. Lillie. Esq., Englewood. Colorado. Shearson Lehman Brothers. Inc. and Thomas Alley ("Respondents") were represented by Charles F. Brega, Esq. of Br

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Karen S. Ungar NASD #92-03496 AWARD vs. Richard E. Hanson and David Allard REPRESENTATION For Claimant: Carroll R. Melton, Arbitration Consultants, Inc., Calabasas, California For Respondents: Douglas B. Martin, Esq., San Francisco, California Statement of Claim filed: October 15, 1992 Claimant's Submission Agreement signed: October

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Florence J. Turner and Florence J. Turner Custodian for Christopher Germano 92-03494 Prudential Securities, Inc. Gerald Strand CASE SUMMARY In a claim fifed with the National Association of Securities Deato, Inc. on October 14,1992, Claimant Florence J. Turner & Florence J. Turner, as Custodian, who appeared Pro Se,

--_ ' N.A.S.D., Inc. NATIONAL ASSOCIATION OF SECURTTGFfl nF.AT.Kpfl In the Matter of the Arbitration Between Name of Claimants) Darla J. Kimbali NASD Arbitration 92-03493 vs. Dean Witter Reynolds Inc. and Donald K. Brooks, Jr. For Claimant: Wm. Patterson Cashill, Esq., Attorney and Counsellor at Law, Reno, NV For Respondents: Curt H. Mueller, Esq., Dean Witter Reynolds, Inc., San Francisco, CA CASE INFORMATION Statement of Claim filed: O

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Craig T. and Linda K. Fischer 92-03491 Name of Respondents J.W. Gant & Associates, Inc. Stephen H. Chu Pacific Southern Securities, Inc. Eric J. Russell Joanne (Jody) E. Swanson James Patrick Driver CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 14, 1992,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas R. Robinson. Jr. 92-03488 Name of Respondent F.N. Wolf & Co.. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on October 14. I9Q2. Claimant Thomas R. Robinson. Jr. who appeared Pro Se. alleged that Respondent F.N. Wolf & Co.. Inc. by and through their Account Execut