; , . N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph P. Smith and Lorraine Durnane 95-05265 Name of Respondent J.B Oxford & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 7, 1995, claimants Joseph P. Smith and Lorraine Durnane ("claimants"), who appeared Pro Se, alleged that respondent J.B. Oxford & Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Maureen H. and Paul E. Belanger 95-05257 Name of Respondents Richard L. Sullivan and Matthew Lipman REPRESENTATION Claimant Maureen H. Belanger and Paul E. Belanger appeared pro se. For Respondents, Richard Sullivan and Matthew Lipman, appeared Christopher Cavuoti, Esq., in-house counsel, Merrill Lynch, Pierce, Fenner, Smi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-01093 Ameritrade, Inc., claimant vs. Chun K. Lau, respondent. ATTORNEYS: For Claimant appeared James J. Vihstadt, Esq., Regulatory Manager, Bellevue, NE. Respondent appeared pro se, New York, NY. DATE FILED: March 5, 2001 CASE SUMMARY: Claimant alleged that respondent failed to deposit adequate funds or buy back securities sufficient to meet the minimum equity requirements in his account

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jackie R. and Nina F. Stewart 95-05250 Name of Respondents Gruntal & Co., Inc. Scott L. Mathis CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 6, 1995, Claimants Jackie R. and Nina F. Stewart ("Claimants"), who appeared Pro Se, alleged that Respondents, GruntaJ & Co., Inc

Arbitration & Mediation National Association of Securities Dealers, Inc. * NASD Financial Center * 33 Whitehall Street * New York, NY 10004 * Fax 212-858-4429 Washington DC Satellite office at: 1735 K Street, NW - 10th Floor * Washington, DC 20006 * Fax 202-728-6952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prime Charter, Ltd. 95-05236 Name of Respondent William A. Entwist

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Walter T. Daidis and 95-05221 Name of Respondent Stratton Oakmont, Inc. REPRESENTATION OF PITIES Walter T. Dardis ("Claimant") was represented by Otto K. Hilbert, n, Esq., Reinhart, Boemer, Van Deuren, Noiris & Rieselbach,, P.C., Denver^ Colorado. Stratton Oakmont., Itic. ("Respondent") was representedprior to the hearing conduc

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Clifford D. Bequette, Claimant and Counter-Respondent, and No. 95-05198 H.J. Meyers & Co., Inc., Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant, Clifford D. Bequette, was represented by Timothy M. McDaniel, Esquire of McDaniel & Allen, located in Houston, Texas. Respondent, H.J. Meyers & Co., Inc. was represented by Stephen C. V

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name ofJZlaimant Charles Appel 95-05196 Names of Respondents White Rock Partners & Company, Inc. f/k/a Rosenbaum Securities, Inc. and Harvey A. Rosenbaum REPRESENTATION For Claimant, Chailes Appel ("Mr. Appal"): Lee H. Schillinger, Esq. and John A. Brekka, Esq., of.the Law Office of Lee H. Schillingeiy P.A.vHotiywood, Florida. f Res

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between \ Name of Claimant Louis G. Maroun 95-05189 Name of Respondent Prudential Securities Inc REPRESENTATION For Claimant Louis G. Maroun ("claimant") appeared Peter D'Amico, Esq., of the law offices D'Amico & Litwin located in Providence, Rhode Island. For Respondent Prudential Securities, Inc. ("respondent") appeared David Glotzer, Esq.

NOV. 30. 1998 10: 56AM NflSD REGULATION FL NO.786 P.6 NASD REGULATION, INC. AWARD XASD Regulation, Inc., Office of Dispute Resolution In tii& Matter of the Arbitration Between Name, (gf Claimant Barbara B. Burnett-Keaton 95-Q51SS IVgmaa of Respondents Interstate/Johnson Lane Corporation O. Thomas Powell, Jr. REPRESENTATION For Claimant: J. Leo Federman, President, CEO, Investors Rights Association, Inc. For Respondent Interstate/John