N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ralph V. Braun 95-04440 o espondents Kidder, Peabody & Co., Incorporated Keith A. Mericka REPRESENTATION For Claimant: Jeffrey P. Coleman, Esq., dearwater, Florida. For Respondents: Thomas A. Dubbs, Esq. and David Rivera, Esq., in-house counsel at Kidder, Peabody & Co., Inc. ("Kidder"). v Co., te,( CASE INFORMATION Statementofaaim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ken Kirschenbaum 95-04432 N .me of %e> PC ".dents A.S. Goldmen St. Company Frederick Fusco CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 18, 1995 Claimant < - K^ : kir^c^hbiauni^ (^aimanV') who appeared Pro Se, alleged that he held account jWttJl^^^^—M$ with Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark Howland Miller Name of Respondent E*Trade Securities, Inc. 95-0443 J CASE SUMMARY In a claim fiJed with the National Association of Securities Dealers, Inc. on September 18, 1995 Claimant Mark Howland Miller ("Claimant"), who appeared Pro Se, alleged that he held account< #Q52 J 55837 with Respondent E* Trade Securities

*-*n< N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harry M. Brown 95-04430 Name of Resp9r|dente & National Association of Securities Dealers. Inc. Josephthal Lyon & Ross Inc. Blech & Company, Inc. All Rights Resend Tom Roskin REPRESENTATION For Claimant Harry M. Brown ("Claimant") appeared Mark A. Phillips, Esq., of the'lawifinn'i of Benesch, Friedlander, Copl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gerald E. Danby, (Claimant) v. GKN Securities Corp., Investec Ernst & Co., BNY Clearing Services LLC f7k/a Schroder & Co., Inc., Elliot Kurz, and Matthew Gothers, Fiduciary of Estate of Richard M. Gothers, (Respondents) Case Number: 01-01967 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Gerald E. Danby, hereinafter referred to as "Claimant": James B. Davis, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barry Edelstein Marlene Edelstein Barry Edelstein, C.F/David Edelstein Barry Edelstein, C.F/Lyndsay Edelstein Barry Edelstein, C.F/Daniel J. Edelstein 95-04429 Name of Respondents Bear Stearns & Company Kenneth F. Lebow Rochelle Cohen REPRESENTATION For Claimants Barry Edelstein, Marlene Edelstein, David M. Ede

• i£ AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Michael C. Brenner, Claimant, v. No. 95-04424 PaineWebber Incorporated; William VanHoegarden, 4 Nation-iiA *•--»• Respondents. AJJ Rights Raservec REPRESENTATION OF PARTIES For Claimant: Michael C. Brenner ("Brenner") was represented by Mark Hellner, Esq.-of Chicago;! Illinois. ; Fbr Respondents: Paine Webber, Incorporat

\0|) N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. 1-. , «l In the Matter of the Arbitration Between Name of Claimant Hugh C. Montgomery 95-04415 Name of Respondents 3\Smith Barney Shearson, Inc. Mercer Securities Ltd. Stephen J. Schappell Mercer Securities, Inc. REPRESENTATION Claimant Hugh C. Montgomery ("Claimant") was represented by Merritt A. Cole, Esq. and Michael J. Taichman

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Robert S. Lawton 95-04413 Name of Respondents Smith Barney Shearson, Inc. Mercer Securities Ltd. Mercer Securities Inc. Steven Schappell REPRESENTATION Claimant Robert S. Lawton ("Claimant") was represented by Merrit A. Cole, Esq. and Michael J. Taichman Robins, Esq., Dilworth, Paxson, Kalish

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Coastal Securities LTD, Claimant, and Mowell Financial Group, Inc., Respondent. No. 95-04412 Consolidated with: In the Matter of the Arbitration Between Ellington Mortgage Partners, LP, Claimant, and Raymond James & Associates, Inc., Respondent and Third-Party Claimant, and Waterside Development Co., and James P. Sche