N.A.S.D. AWARD NKTICNAL ASSOCIATION OP SBLTJKiTlfcS DEALERS In the Matter of the Arbitration Between Name of Claimant (s) William F. Dacey 91-00974 Name of Respondent < s) Alex Brown & Sons Incorporated Michael Savage For Claimant: Bruce Roth, Esq. of Robert J. Hecker & Associates, IDC. of White Plains, New York. For Respondents: Daniel E. tfclntyre, Esq. of Alex Brown & Sons, Inc. in Baltimore, Maryland. QVSE Statement of Claim f

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00973 AWARD In the Matter of the Arbitration Between Ray Corder Claimant vs . Shearson Lehman/American Express, Inc. n/k/a Shearson Lehman Brothers, Inc. Respondent CASE SUMMARY Ray Corder, represented by Frank J. Woodrow of Woodrow, Roushar & Carey, Montrose, CO/ in a claim filed with the National Association of Securities Dealers, Inc. on March 26, 1991, alleged that

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01796 Stockwalk.com, Inc., claimant vs. Gil A. Neveaux, respondent. ATTORNEYS: For Claimant appeared Claire M. Hames, Esq., of the firm, Miller Johnson Steichen Kinnard, Minneapolis, MN. Respondent did not submit an answer to the Statement of Claim. DATE FILED: April 9, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance in his customer account.

N.A.S.D. AWARD NKEKML ASSOCtKTECN OP SECURITIES EGAI0S In the Matter of the Axtoitration Between ) ) Name of Claimant (s) ) ) Martin A. Chira ) ) Case No. 91-00966 ) Name of Ross Little ) J.W. Charles Securities, Inc. ) For Claimant, Itertin A. Chira ("Chira"): Michael D. Harris, Esq. of Lewis, Vegosen and Roeeobach, P.A. For Respondents, J.W. Claries Securities, Inc. ("JWC") and Ross Little ("Uttle"): diaries E. Scarlett, Es

In the Hatter of the Arbitration Between Marcus 3. Overton Claimant Case AWARD Claimant | case #91-00964 vg. A.G. Edwards and Sons, Inc. Respondent CASE SUMMARY Claimant Marcus B. Overton, pro se, in a claim filed with the National Association of Securities -Dealers, Inc. on March 26,1391, alleged that Respondent A.G. Edwards and Sons, Inc, failed to deliver a Georaia Investors Quality Tax Exempt Trust Series #14 bond which h

PUBLIC N.A.S.EL AWARD NATIONAL ASSOCIATION OF SECURITIES DEALEKS In the Matter of the Arbitration Between Name of Claimant Katharine J, vs. Of Arbitration National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Cane # 91-00963 Prudential Securities For Claimant: Bruce D. Johnson, Esq. For Respondent: Debra Roth, Esq. of Phillips, Nizer,

AMSO H.A.J.D. i NATIONAL ASSOCIATION OF SECURITIES DEALERS "In the Matter of the Arbitration Between"" of Claimant National Association of Securities DeeJer*«< Inc. NASD Financial Center 33 Whitehall Street New York, New York 1000- Rocky J. Cirino Name of Respondents Prudential Securities Inc William Gordon 91-00961 For Claimant: Robert W. r-fclntyre, Esq. of Mclntyre, Kahn & Kruse. For Respondents: Herbert J. Marek, Asso

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James W. Teunas No. 91-00954 Name of Respondents ISFA Corporation d/b/a Driest Mark Jensen REPRESENTATION OF PARTIES For Claimant: Wilbur W. Warren, Esq. of Warren Law Office S.C. For Respondents: Eugene B. Harper, Esq., Staff Attorney of ISFA Corporation d/b/a Invest. CASE INFORMATION Statement of Claim filed: Marc

N.A.S.D. AWARD NATICNAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Evelyn B. Mams Name of Respondent (s) PaioeWettocr, lac. Christopher Hodges (Third Party Respondent) Arbitration Nation*! Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case Mb. 91-00951 For dainsnt, Evelyn Adams (•Adams"): Stuart C. Golcfcerg, Esq.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter cf the Arbitration Between James T. & Christine R. Burton Claimants vs . Claiborne H. Kinnard Respondent SUMMARY CASE* 91-00949 AWARD Pro Se Claimants James T. and Christine R. Burton, in a claim filed with the National Association of Securities Dealers, Inc. on March 26, -991, alleged that their broker at First Affiliated Securities Inc. and the branch manager Claibo