AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the Matter of Arbitration Between John Veres and Vera Veres, Claimants, and No. 96-04385 Smith Barney Incorporated and Alton T. Davis, Respondents. REPRESENTATION OF PARTIES For Claimants: John Veres and Vera Veres ("Claimants" or the "Veres") were represented by Alan F. Block, Esq. of Block & Landsman, located in Chicago, Illinois. For Respondents: Smith Barney Incorporated ("Smith

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Krishnamurthy Ramakrishna 96-04384 Name of Respondents H.J. Meyers & Co., Inc.; Mark Allen; Robert Settcducati; and Thomas James Associates, Inc. REPRESENTATION For Claimant: Krishnamurthy Ramakrishna 0*Ramakrishna w ) was represented by Eric Ross, Esq., of the Law Offices of Dan Brecher, located in New York, New York. For Respondents: H

r. NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between § § Name of Claimant: § § HARRY M. FARNHAM, JR. IRA § § Case 96-043 76 Name of Respondents: § § THOMAS JAMES ASSOCIATES, INC., a New § York corporation, H. J. MEYERS & CO., INC. § a/k/a/MEYERS SECURITIES CORPORATION, § a California corporation, MARK ALLEN, § an individual, and ROBERT SETTEDUCATI, § an individual. § REPRESENTATION For Claimant: Har

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Alan and Marsha Garfield 96-04375 HJ. Meyers & Co., Inc.; Mark Allen; Robert Setteducati; and Thomas James Associates, Inc. REPRESENTATION For Claimant: Alan Garfield and Marsha Garfield ("Garfield") were represented by Eric Ross, Esq., of the Law Offices of Dan Brecher, located in New York, New York, and appeared at hearing telephonically. For

Amended Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James M. Ahlstedt, Jeffrey D. Franklin, and David Unsworth, Claimants v. Broadmark Capital Corporation, Stephen J. DeGroat, and Joseph L. Schocken, Respondents Case Number: 01-02144 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Anthony M. Englese, Esq. Law Offices of Anthony M. Englese San Francisco, California For Respondents

NASD REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION,INC. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Thomas W. Bibb and Names of Respondents H.J. Meyers & Co., Inc., Mark Allen, and Robert Seteducatti Case Number 96-04369 REPRESENTATION OF PARTIES Claimant, Thomas W. Bibb was represented by Dan Brecher, Esquire of Fischbein, Badillo, Wagner & Harding located

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Carl Baylis 96-04364 Name of Respondents John P. Sciascia John Doukas REPRESENTATION Claimant Carl Baylis ("claimant") appeared pro se. For respondents John P. Sciascia ("Sciascia") and John Doukas ("Doukas") appeared John Bersin, Esq. of the law firm of Gusrae, Kaplan & Bruno located in New York, New York. CASE INFORMATION Statement of Claim was filed on

AWARD NASD REGULATION. 1NC» OFFICE OF DISPUE RESOLUTION In the matter of the Arbitration Between Name James D, Reiter, IRA James D. Reiter TTEE/Reiter Family Trust v. Arbitration No. 96-04361 Nam? of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc, Kirk Woodley REPRESENTATION Of PARJffiS James D. Reiter, IRA and James D. Reiter TTEE/Reiter Family Trust ("Claimant") were represented by Eileen L. McGeever, Esq., Rushall & Mc

N. X.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04359 Helena Gunnarsson, claimant v. Johnston, Lemon and Co., Susanne Nolan and James H. Lemon, respondents. ATTORNEYS: Claimant appeared pro se - Washington, DC. For Respondents appeared Donald E. Clem, Esq. Washington, DC DATE FILED: 9/30/96 CASE SUMMARY- Claimant alleged misrepresentation, omissions. unsuitabilUy and failure to supervise m the sale

N.A.S.D. REGULATION AWARD NATIONAL ASSQCTATTON OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04356 Elizabeth B. Lewis, claimant v. Richard B. Bellinfante and Securities America, Inc., respondents. ATTORNEYS: For Claimant Claimant appeared Pro Se - Tucson, AZ. Respondent Richard Bellinfante appeared Pro Se - Tucson, AZ. For respondent Securities America, Inc. David O. Spinar, Esq. in-house counsel - Omaha, NE. DATE FILED: September 30, 1996