N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edwin A. Dahle 96-00964 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Samuel Turvey REPRESENTATION For Claimant, Edwin Dahle ("Claimant"), appeared Thomas P. Liptock of the law firm Gunnoe & Associates located in Centerville, Ohio. For Respondents, Merrill Lynch, Pierce, Fenner and Smith, Inc. ("Merrill Lynch"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Michael L, Dobison 96-00963 Name of Respondents) Josephthal Lyon & Ross Inc. Rodney Sailor REPRESENTATION For Claimant Michael Dobison ("claimant") appeared Edward H. Saunders, Esq. of the law firm Page & Bacek located in Atlanta, Georgia. For Respondent Josephthal Lyon & Ross, Inc. ("Josephthal") appeared Robert G. Brun

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ann F. Grossi 96-00959 Name of Respondent Dillon Securities, Inc. Reich & Co., Inc. Thomas Dillon Removed for Bankruptcy Carl Reich REPRESENTATION Claimant Ann F. Grossi appeared Pro Se. Respondents Reich & Co., Inc. and Dillon Securities, Inc. did not enter appearances at the pre-hearing conference. For r

NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Nicholas & Catherine Rago 96-00958 Name of Respondents David Lerner Associates George Villas! REPRESENTATION For claimants Nicholas & Catherine Rago ("claimants") appeared Seth I. Ben-Ezra, Esq., of the Law Offices of Steven J. Goldstein, Esq. located in Jericho, New York. For respondents David Lerner Associates ("Lerner") and George Villasi ("Villasi") appeared

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Bruce A. Murray & Doris M. Murray Case No. 01-01 159 Edward D. Jones & Co. L.P.; Greg A. Reinhold ring Site: Indianapolis, Indiana. OF PRTTFS Claimants Bruce A. Murray and Doris M. Murray were represented by David C. Campbell, Esq: of Bingham McHale, LIP, located in Indianapolis, Indiana. ' : Respondent Edward D. Jones & Co. L.P. ("Jones") was represented by William

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marty Moser 96-00952 Name of Respondents Kevin Callahan Metropolitan Life Insurance Company REPRESENTATION For Claimant: Michael Moran, Esq., Sarasota, FL. For Respondents: Allen I. Fagin, Esq. of the law firm of Proskauer Rose Goetz & Mendelsohn, LLP, New York, NY. CASE INFORMATION Statement of Claim filed: March 4

NASDR AWARD NASDR. TN[Q.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Lana Vanderplas NASDR Arbitration #96-00951 vs. Name of Respondents New England Securities Corp. Timothy]. Schumacher REPRESENTATION For Claimant: Steve D. Larson, Esq., Stoli Stoil Berne Lokting oC Shlachter P.C, Portland, Oregon For Respondents: Richard Stowell, Esq., Lord, Bissell & Brook, Chicago, Illinois CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants E. Boyd Taylor Family Trust 96-00950 Name of Respondents A.G. Edwards & Sons, Inc. and Piper Jaffray, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1996, Claimant E. Boyd Taylor appearing as trustee of the E. Boyd Taylor Family Trust ("Claimant"), who appeared Pro

'•< '? AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Juan Manuel Pasalagua and Maria Pasalagua, Claimants, and No. 96-00949 D.E. Frey & Company, Inc., Peter Sperling and Kenneth Sperling, Respondents, REPRESENTATION OF PARTIES Claimants, Juan Manuel and Maria Pasalagua, were represented by William R. Burke, Jr., Esquire of Garcia & Burke, located in Houston, Texas, Respondent, D.E. F

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Robert W. Baird & Co., Incorporated 96-00948 Name of Respondent Ross A. Weissenhofer REPRESENTATION For Claimant: Robert W. Baird & Co., Incorporated ("Baird") was represented by James J. Eccleston, Esq. of Uscian & Eccleston, located in Chicago, Illinois. For Respondent: Ross Weissenhofer ("Weissenhofer 1 ') did not ap