NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ervin D. Kemnitz, and Carol M. Kemnitz, Claimants, v. No. 95-03713 Simmons & Bishop Co., Inc., and K. Mark Skow, Respondents. REPRESENTATION OF PARTIES Ervin D. Kernnitz and Carol M. Kemnitz ("Claimants") appeared on their own behalf. Simmons & Bishop Co., Inc. ("SBC") and K. Mark Skow ("Skow") (collectively referred to as "Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of the Claimants Travis Balch and Betty Ann Balch and IRA for FBO Betty Ann Balch Names of the Respondents John R. Taylor Financial Group, Inc. and John R. Taylor, individually Case Number: 01-01927 Hearing Site: Little Rock, Arkansas REPRESENTATION OF PARTIES For Travis Balch and Betty Ann Balch and IRA for FBO Betty Ann Balch, hereinafter collectivel

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Mangaraju Kolluru, M.D. 95-03709 Name of Respondent Syed Ahsan Naqvi REPRESENTATION Claimant Mangaraju Kolluru ("Claimant") appeared pro se. Respondent Syed Ahsan Naqvi ("Respondent") was represented by Vincent M. Lentini, Esq., Doros & Brescia, New York, NY. CASE INFORMATION The Statement of Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants_ Waiter W. and Marie Brando Strakowski 95-03706 Name of Respondents © National Association of Raymond James & Associates, Inc. Securities Dealers, Inc. ' investment Management & Research, Inc. William M. Kean All Rights Reserved William M. Kean & Associates, Inc. REPRESENTATION For Claimants, Walter W. and Marie Brando

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Thomas J. White and 95-03701 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION OF PARTIES Thomas J. White ("Claimant") was represeted by Christopher R. Alger, Esq., Denver, Colorado. Dean Witter Reynolds, Inc. ("Respondent") was represented by Ralph P. Schiavo, Esq., Dean Witter Reynolds, Inc., New York, New Yo

fl^.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Patricia J. Praegitzer Name of Respondent Smith Barney, Inc. NASD Arbitration No. 95-03700 REPRESENTATION For Claimant: For Respondent: Robert A. Uhl, Esq. Aidikoff & Uhl Los Angeles, California Ellen Slipp, Esq. Smith Barney Shearson, Inc. New York, New York CASE INFORMATION Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mame of Claimant Dove P. Johnson 95-03699 Name of Respondent Smith Barney Shearson, Inc. CASE SUMftjARY In a claim filed with the National Association of Securities Dealers, Inc. on August 1, 1995, Claimant Dove P. Johnson ("Claimant"), who appeared Pro Se, alleged that Respondent Smith Barney Shearson, Inc. ("Respondent") failed to redeem her

. JftN. 6.1999 12:_32PM NflSD REGULATION FL NO, 770 P. 23 STIPULATED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Futures & Options Trading, Inc. 95-03693 Names of_Respondents Prudential Securities, lac, Gary Sheperd REPRESENTATION For Claimant: Kenneth S. Sandier, Esq. of Kenneth S. Sandier, P.A., Hollywood, Florida. For Respondents Prudential Securities, Inc. ("Prudential") and Gary Sheperd ("Sh

SENT BY: 6-11-98 ; 8:29AM ;NASD ARBITRATION DPT^ 12122085165:#20/32 N.A.S.D. AWARD NATIONAL ASSnriflTIQKf QF SECURITIES DEALERS . INC. In the matter of the Arbitration Between Name of Claimant. Is) Joan Marlow Name gf Respondent: fa) Eric M. Harsh Shearson Lehman Brothers, inc. NASD Arbitration No. 95-03652 For Claimant: Kevin J. Shannon, Esq., San Francisco, California For Respondents: Alejandro Schwed, Eaq. , Smith Barney Inc., New

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Arthur Granfar, IRA 95-03690 Fidelity Brokerage Services, Inc. Kyle P. Washington CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 1, 1995 Gaimant Arthur Granfar, who appeared Pro Se, alleged that Respondent Fidelity Brokerage Service Inc., through its registered representativ