N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS NASD Case 96-00653 REFKESJENTA11( )N Claimant Konstantinos Haralambidis ("Haralamhidis") appeared pro se. For Respondent National Discount Brokers ("National' 1 ) appeared Adam Rezok, Esq., staff attorney with National. CASE INFORMATION Statement of Claim filed on February 9. 1996. Claimant's Submission Agreement signed on December 26, 1995. Statement of Answer filed by Respon

NASD REGULATION, INC. AWARD In the Mattel of the Arbitration Between Name of Claimants Joseph Feldman Ruth Feldman Edward Feldman Stephen Feldman a/r/f Rachel Feldman Stephen Feldman a/c/f Alex Feldman 96-00646 Respondents prudential Securities, Inc. Russo securities. Inc. SmfthBaroey Shearscn, Inc. Joseph Btumenthal J.I. Morgan & Co. Gilford aaoufe^ Inc. REPRESENTATION For Claimants Joseph Feldman ("J.FeidmarT),

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Tony Lopez, individually, The Estate of Kathleen C. Lopez, by and through its executor, Tony Lopez, Carmen Lopez, individually, and as beneficiary of The Estate of Kathleen C. Lopez and Case Number 96-00645 Names of Respondents Prudential Securities, Inc. and Larry Margozewitz REPRESENTATION OF PARTIES Tony Lo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. TNG. In the matter of the Arbitration Between Name of Claimants Samuel C. Chua NASD Arbitration v. No.96-00643 Name of Respondents Stratton Oakmont, Inc. Scott Feigeiman and Steve Buxton REPRESENTATION For Claimant: Robert A. Uhl, Esq. and Philip M. Aidikoff, Esq. Aidikoff & Uhl Beverly Hills, California For Respondents: Jay Marc Israel, Esq. Wexler & Burkhart, P.C.

N.A.S.D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Doris E. Colin 96-00639 _Na me of_Resrjpn_dent Gene Lantern CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on February 12, Claimant Doris E. Cohn ("Claimant"), who appeared Pro Se, alleged that Respondent Gent' Lanton ("Respondent") made improper decisions regarding her investments. Claimant further allege

96-00636 Oppenheimer & Co., inc. Larry Malles Randy Driver Greg We!Is Keith Daubenspeck Larry Bishop REPRS'SEMATION For Claimant William Graham ("Claimant") appeared Roger W. VanDeusen, Ksq., of the law office of Chairman, Gaines, £ Stern., located in Cleveland, Ohio. For Respondents Oppenhermer & Co ('Oppenheimer"), Larry Malles ("Malles"), Randy Driver ("Driver'). Greg Wells ("Weils' }, Larry fiishop ("Bishop"), and Keith Daubenspeck ("Dau

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James & Patrice McDuff 96-00620 TAJ Global Equities, Inc. David L. Muir REPRESENTATION For Claimants: The Claimants appeared pro se. For Respondent TAJ Global Equities Inc.: Wilbur J. Jurdine, Managing Director at TAJ Global Equities, Inc. The Respondent David Muir submitted a Statement of Answer on his own behalf but did

AWARB NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Merrill Lynch, Pierce, Fenner & Smith, Inc. Claimant, and No. 96-00613 Charles F. Murry, Respondent, REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. was represented in pleadings by Stephen N. Gretchyn and at the hearing by George Dembski, Esquire, and Andrew Quizley, all of which are with Merrill Lynch, Pierce Fenn

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Timothy J. Mahan and Ursula M. Mahan. Claimants, and No. 96-00612 Dean Witter Reynolds. Inc. and David S. Rossman, Respondents, REPRESENTATION OF PARTIES For Claimants: Timothy J. Mahan and Ursula M. Mahan (the "Mahans") were represented by James J. Moylan, Esq., of Arnstein & Lehr, located in Chicago, Illinois. For Respondents: Dean Witter Reyn

Award NASD Dispute Resolution, luc. In the Matter of the Arbitration Between Names of Claimants Dewey L. Kessler, Jr. Individually, and as Personal Representative for the Estate of Robert J. Pearson Kathleen K. Cook Keith K. Kessler Kerri L. Kessler Sheila P, Comstock Case No. 01-01136 Names of Respondents Edward D. Jones & Co. Jonni J. Post Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Claimants Dewey L.