Award NASD Dispute Resolution BINDER COPY In the Matter of the Arbitration Between: John Mudgett and Barbara Mudgett, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Thomas A. Karren, Respondents Case Number: 01-02046 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimants: James E. Bartels, Esq. Meyer & Wyse Portland, Oregon For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc.: Thomas C. San

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Seymour Werner 96-01707 Name of Respondent Prime Charter, Ltd. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 19%, claimant Seymour Weiner ("claimant"), who appeared Pro Se, alleged that respondent Prime Charter, LTD. ("respondent") through its representative, Bradford S. Be

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Halpert and Company, Inc. 96-01706 Name of Respondent Neil Berman CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on April 19, 1996, claimant Halpert and Company, Inc, ("claimant"), through its representative, Carl F. Schoeppl, Esq. of Mager & Associates, P.A., located in Fort Lauderdale,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS fn the Matter of the Arbitration Between Name of Claimant Richard H. O'Keefe Name of Respondent Olde Discount Corporation 96-01705 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 19, 1996, 'Claimant Richard H. O'Keefe ("Claimant"), who appeared Pro Se, alleged that Respondent Olde Discount Corporation ("Olde"), did not timely place his

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Udaya Jagirdar, Sadhana Jagirdar and Peter Huber v. Name of Respondents Smith Barney, Inc. and Harris Upham & Co., Inc. Arbitration No. 96-01703 REPRESENTATION For Claimants: For Respondents: Bruce R. Safran, Esq. Law Offices of Safran & Godino Tarzana, California Harry T. Walters, Esq. Smith Barney, In

N.A.S.D. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Randall C. Monroe & Michelle R. Monroe 96-01701 Name of Respondents Eric Sikes; Joseph Roberts & Company Inc. REPRESENTATION For Claimant: Randall C. Monroe and Michelle R. Monroe ("Monroe") were represented by Stephen A. Kolodziej, Esq. of Clark & DeGrand, located in Chicago, Illinois. For Respondents: Joseph Rob

AWARD NASD Regulation,, Inc. In the Matter of the Arbitration Between Alfred Z. Kales, Claimant, v. No. 96-01695 Dean Witter Reynolds, Inc., and Lawrence D. Bain, Respondents, REPRESENTATION OF PARTIES Claimant Alfred Z. Kales ("Claimant") was represented by Anthony V. Trogan, Esq. of Weisman, Trogaiij Young & Schloss, P.C. located in Bingham Farms, Michigan, Respondent Dean Witter Reynolds, Inc. ("Dean Witter") was represented by Raymon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dan Anderson and Sharon Anderson Ricky J. Getchell and Nora S. Getcheil 96-01693 Name of Respondents Lew Lieberbaum & Co., Inc. Drew D. Chalmers Sovereign Equity Management Corp. For Claimants: Guy M. Burns, Esq. of the law firm of Johnson, Blakely, Pope, Bokor, Ruppel & Burns, Tampa, Florida. For Respondents Lew Liebe

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Carmen & Richard Spensieri Case No. vs. 96-01684 Names of Respondents Southwest Securities, Inc. Chamberlain & Grant Inc. Clayton Chamberlain REPRESENTATION For Claimants Carmen and Richard Spensieri ("Claimants") appeared Charles J. Engel, Esq., a private practitioner with offices located in Syracuse, New York. For Respondent Southwest Securities

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jesse Barajas, Claimant v. Antonio Betancourt and Max International Broker Dealer Corp., Respondents Case Number: 01-02045 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant/Counter-Respondent Jesse Barajas: David Liebrader, Esq. Law Offices of David Liebrader Foothill Ranch, California For Respondent/Counter-Claimant Antonio Betancourt: Antonio Bet