N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rashid Abdu Inc. Profit Sharing Plan & Trust, Rashid & Joan Abdu, Trustees Rashid A. & Joan Abdu 92-01653 Name of Respondents The Ohio Company Howard Lewis REPRESENTATION For Claimants Rashid Abdu Inc. Profit Sharing Plan & Trust, Rashid & Joan Abdu, Trustees and Rashid A. & Joan Abdu ("Claimants"): Charles E. Dunlap,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Mark Appei, Alan Appel & Hera Appei 92-01652 Name of Respondents) Stracton Oakmont, Inc. Brian Scanlan Brian Herman Jordon Belfort REPRESENTATION For Claimant: Paul E. Schofield, Esq. of Siebel, Whippie and Schofield, Chicago, Illinois. Claimant Mark Appei appeared on behalf of the remaining claimants. For Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sandra A. LoMonaco 92-01651 Name of Respondent Olde Discount Corporation; CEFCU Financial Services/Credit Union Brokerage Services REPRESENTATION For Claimant: Sandra A. LoMonaco was represented by Salvatore LoMonaco. For Respondents: Olde Discount Corporation and CEFCU Financial Services/Credit Union Brokerage Services was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George Weinstein 92-01637 Name of Respondents Jeffrey Brooks Securities Inc. National Financial Services Corp. REPRESENTATION The claimant George Weinstein, appeared at the hearing without counsel. For Respondent, Jeffrey Brook Securities ("JBS") Barry Bohrer Esq. from the law firm of Morvillo Abramowitz Grand lason et. al.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counter-Respondem Shearson Lehman Brothers, Inc. 92-01633 Name of Respondcnts/Counter-Claimani Joseph Mayer; Sandra Mayer REPRESENTATION For Claimant/Counter-Respondent: Shearson Lehman Brothers, Inc. was represented by Jerry M. Santangelo, Esq. of Neai, Gerber & Eisenberg, located in Chicago, Illinois. For Respondents/Coun

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Weil (Claimant) v. Montrose Capital Management, LTD., Alexander, Wescott and Co., Inc., David Jacaruso, John Telfer, Joseph Scotti, Robert Winston, and Epifanio Almodovar (Respondents) Case Number: 01-01886 Hearing Site: New York, New York Nature of the Dispute: Customer v. Terminated Members and Associated Persons. REPRESENTATION OF PARTIES Claimant James Weil ("Weil") he

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nartie of Claimant(s) Johanna Campbell John and Diana Fedak Case No. 92-01611 Case Nor92-01632 Name of Respondent^ Smith Barney Harris Upham & Co., Inc. REPRESENTATION For Claimants, Johanna Campbell ("Campbell") and John and Diana Fedak ("the Fedaks"); Arthur Schwartzstein, Esq. of the Law Offices of Arthur Schwartzstein, Esq. For Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter or the Arbitration Between Name of Claimants John Olenick Richard D. Nikoiaev 92-01618 Name of Respondents Dean Witter Reynolds, Inc. .Andrew J. Johnson REPRESENTATION For Claimants at the hearing: Mark Maddox, Esq. of Coons & Saint. Indianapolis, Indiana. For Respondent Dean Witter Reynolds, Inc. at the hearing: Jay M. Cutler. Esq. of Dean Witter Reynolds, Inc.,

PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John D. Mullen Claimant CASE #92-01617 AWARD vs. J.W. Gant & Associates, Inc. Robyn Lynn Reagan Kelly Button Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 12, 1992, Claimant John D. Mullen who appeared pro Se, alleged that in 1991 he opened an account with Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between G. Roben Abrams Michael A. Ruderman Name of Respondent(s) Schonfeid Securities Inc. Ronald K. Harrison Kathryn A. Licursi Stephen B. Schonfeid 92-01613 REPRESENTATION For Claimants G. Robert Abrams & Michael A. Ruderman: David Robbins, Esq. of Kaufman, Gildin & Carlin. For Respondents Schonfeid Securities Inc., Ronald Harrison, Kath