AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant L. Scott McKenry Trust v. Arbitration No. 95-05164 Name of Respondent Cartwright & Walker Securities, Corp., Emmett A. Larkin Company, Inc., E. Scoville Walker and Alex V. Gincherman REPRESENTATION For Claimant: Jonathan W. Evans, Esq. Jonathan W. Evans & Associates Los Angeles, California For Respondent Emmett A. M

AWARD NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of Arbitration Between N. Peter Schenk, Claimant, and No. 95-05153 PaineWebber Incorporated Respondent. REPRESENTATION OF PARTIES For Claimant: N. Peter Schenk ("Schenk") was represented by Alexander T. Moore, Esq. of Edward T. Joyce & Associates, P.C., located in Chicago, Illinois. For Respondent: PaineWebber Incorporated ("PaineWebber") was represented by L. Andrew Breh

STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant George Breu and Case Number: 95-05134 Name of Respondents Stratton Oakmont, Inc., Kerry S. Brecker, and Howard S. Gelfand REPRESENTATION OF PARTIES Claimant George Breu ("Claimant") was represented by Paul R. Erickson, Esq. and Colleen M. Fleming, Esq. of Gutglass, Erickson & Bonville located in Milwaukee, Wiscons

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-01091 Joan Davidow-Sneed, Claimant vs. Paul Antis, Respondent. ATTORNEYS: Claimant, Joan Davidow-Sneed, appeared Pro Se, Pittsburgh, PA. For Respondent, Paul Antis, appeared Gabriel Loubier, Senior Vice President, Prudential Inc., New York, NY. DATE FILED: March 05, 2001 CASE SUMMARY: Claimant alleged that respondent was negligent in the management of her account. Claimant furt

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Aliaa Boyne Case No. 00-00699 Names of Respondents Barron Chase Securities, Inc. Michael S. Bellina Shawn M. Meaney REPRESENTATION OF PARTIES For Allan Boyne ("Boyne"), hereinafter referred to as "Claimant": Alan Foxinan, Esq., Raton, Florida. :.; n *£qf Bajron Chase Securities, Inc. ("Barron Chase**): Eugene Michael Kennedy'; i '

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Delores Levitan, Levitan Family Trust and Steven E. Levitan v. Name of Respondents RAF Financial Corporation and Robert F. Blake NASD Arbitration No. 95-05131 REPRESENTATION For Claimant: For Respondents: Statement of Claim filed: Leonard Steiner, Esq. Steiner & Libo Beverly Hills, California Russ

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Stanley and Joan Karasick and Bette Ann Leventhal 95-05123 Name of Respondent Denise Brooke Bedingfield CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 30, 1995, Claimants Stanley and Joan Karasick and Bette Anne Leventhal ("Claimants"), alleged that Respondent Denise Brooke B

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Simmons Pump Stock Bonus Trust, Claimant, and No. 95-05121 Smith Barney Shearson, Inc., and Hutchison Financial Group, Respondents, REPRESENTATION OF PARTIES Claimant Simmons Pump Stock Bonus Trust was represented by Barry Kirschner, Esquire, of Raven, Kirschner & Norell, P.C., located in Tucson, Arizona. Respondent Smith Barney Shearson, Inc. w

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Curtis Smay and Joyce Smay, Claimants, v. No. 95-05119 A.G. Edwards & Sons, Inc., Advest, Inc., and William E. Cromwell, Respondents. REPRESENTATION OF PARTIES Claimants Curtis Smay and Joyce Smay were represented by Bruce D. Aukerman, Esquire, of Mann Chancy Johnson Goodwin & Williams, located in Terre Haute, Indiana. Respondents A.G. E

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Randall Lindberg, Anthony Cheverez, Robert Pelio, Scott Shaffer, Eric Lyon, Thomas Holly, Michael Roberts, Thomas Jordan, Kodjo Gassou, Michael Winnick, Andrew Palumbo, Shandal Von Wood, Matthew Ernst, Scott Lask; Craig Nilsen, Albert Copperstone, Chris Zafiroff, 95-05106 Stephen F. Molinari, and George Stinson Name of Responde