AWARD HASP REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantfs) Berit B. Miller Arbitration No. 95-04337 of Resondent ( s Smith Barney Inc., also known as Shearson Lehman Hutton; George Peterson; and Kim Mastel , _ - , REPRESENTATION For Claimant: David A. Tallant," Esq., Rancho Cordova, California For Respondents: Sean J. Coughlin, Esq., Smith Barney Inc., New York, New

AWARD NASD Regulation, Inc. Office of Dispute Resolution o National Securities DCP!.-" - In the Matter of the Arbitration Between •—• too/; Daniel J. Schmitt, Claimant, All Rights Reserved v. No. 95-04335 Witter Reynolds, Inc., and Daniel M. Prescott, Respondents. REPRESENTATION OF PARTIES Daniel J. Schmitt ("Claimant") was represented by Charles Seigel, Esq., of Seigel & Wolff, P.C., St. Louis, Missouri. T ^ "

N.A.S.D. AWARD IN THE MATTER OF THE ARBITRATION BETWEEN Lenora Coble and Case Number 9504334 Terrance (Terry A.) Buttler & National Association of REPRESENTATION Securities Dealers. Inc. Lenora Coble ("Claimant") appeared pro se'. All Rights Reservec Terrance (Terry A.) Buttler ("Respondent") did not appear at the hearing yet filed a Submission Agreement and a Statement of Answer pro se'. CASE INFORMATION The Statement of Claim was; filed on

Sent by: ' '"sen BY-. 10-23-96; i: N.A.S.D. AWARD * NATIQNAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Nora Duncan v NASD Arbitration No. 9504333 Name of Respondents A.S. Goldmen & Company and WUJjp E. Steele REPRESENTATION For Clainum; Steve A. Bucbwslier, Eaq. nd Bruce Garfiekl Law Offices of Steve A. Buchwaltet Encino, Califbrait For Respondent A.S. Goldmen ft Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Anne Jones Sweeney 95-04321 Name of Respondent(s) Alex Brown & Sons Incorporated William Hatter CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 11, 1995, Claimant Anne Jones Sweeney, who appeared Pro Se, alleged that Respondent Alex Brown & Sons ("Alex Brown"), through

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kohn Financial Corporation 95-04315 Name of Respondent Danny L. Phipps, Jr. Securities Balers. C' AH Kfehts Jfeservfid REPRESENTATION Claimant Kohn Financial Corporation ("Claimant") was represented by Joseph J. Dehner, Esq,, Frost & Jacobs, Cincinnati, OH. Respondent Danny L. Phipps, Jr. ("Respondent") was represented by P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp 95-043 14 Name of Respondent ® Natjonal Associallon of Securities Dealers. Inc. Steven Frantz All Rights Reserved REPRESENTATION For Claimant GKN Securities Corp. ("GKN"), appeared Katherine Nathan, Esq., in-house counsel for GKN Securities Corp., located in New York. ' . Respondent Steven Frantz

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01964 Access Financial Group, Inc., claimant vs. Anthony Mango, respondent. ATTORNEYS: For Claimant appeared Andrew S. May, Esq., Henderson & Lyman, Chicago, IL. Respondent did not submit a response to the Statement of Claim. DATE FILED: April 18, 2001 CASE SUMMARY: Claimant alleged that respondent failed to pay additional funds to cover his margin calls therefore creating a debit b

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ann G. Militello Award No. vs. 95043 11 Name of Respondents 1 © National Association of _. T _, . Securities Dealers, Inc. First Investors Corporation Richard Randall Turner All Rights Reservec REPRESENTATION For Claimant, AM G. Militello ("Claimant"), Harry S. Miller, Esq. and Elizabeth F. Marx, Esq^i -

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Martin D. Monciardini Claimant NASD Regulation, Inc. v. No. 95-04308 H.J. Meyers & Co., Inc., Thomas James Associates, Inc., Kevin Hoag, Chris Boggs, and Michael Raleigh Respondents REPRESENTATION OF PARTIES Martin D. Monciardini ("Claimant") was represented by Timothy F. Perry, Esq., Law Offices of Timothy F. Perry, San Francis