NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Abe Holtzman David Filer vs. Case No. 95-04588 Name of Respondents H.J. Meyers & Co., Inc. Thomas James Associates, Inc. Robert Seteducati Mark Allen REPRESENTATION For Claimants Abe Holtzman ("Holtzman") and David Filer ("Filer") (collectively "Claimants") appeared Dan Brecher, Esq., located in New York, New York. For Respondents H.J.

N.A.S D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Shawn M. Teevin vs. NASD Arbitration No. 9504585 Name of Respondent Biltmore Securities, Inc. Howard Gostfrand REPRESENTATION For Claimant: Thomas V, Dulc^ch^Esq.,. Schwabe, Williamson & Wyatt, P.O., Portland; . " . . ; . ' , ;. Oregon .. . ~?-.~.~'-—•-'.'- .:—.„-.:.:.:.. " . . ,. .-• F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary Ann Logan 95-04582 Name of Respondent Chase Manhattan Investment Services, Inc. REPRESENTATION For Claimant: Scott C. Ilgenfritz, Esq. of Johnson, Blakely, Pope, Bokor, Ruppel & Burns, P.A., Tampa, FL. For Respondent: Jacob Zamansky, Esq. of Singer Zamansky LLP, New York, NY. CASE INFORMATION Statement of Claim fil

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Michele Herman and Name of Respondents NASD Case Number: 95-04577 -^-Barrett Day Securities, Inc. David Feyjin Eric Peremen Matthew Frederick J.B. Oxford & Company, Inc. & National Association of Securities Dealers, Inc. All Rights Reserved REPRESENTATION OF PARTIES Claimant Michele Herman ("Claimant")

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01059 Grace M. Langen and George E. Langen, claimants vs. NatCity Investments, Inc. and Quint Dalrymple, respondents. ATTORNEYS: Claimants appeared Pro Se, Ann Arbor, MI. For Respondents appeared Mary Lynn Menta, Compliance Analyst, Cleveland, OH. DATE FILED: March 2, 2001 CASE SUMMARY: Claimants alleged that due to respondents' failure to process their purchase order as request

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between ^ National Association Securities DcnV* George E. Faust and Carma R. Faust, - 1004 Claimants, Ay Rights Reserved v. CASE No. 95-04575 Berthel Fisher & Co. Financial Services and Craig Eugene Halfpop, Respondents. REPRESENTATION OF PARTIES Claimants, George E. Faust and Carrna R. Faust were represented by Gail E. Boliver, Esq

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lawrence D. Bain, Claimant v. No. 95-04565 Dean Witter Reynolds, Inc., @ National AMOCiado|l of George Fraser, and Securities Dealers, Inc. Lawrence Gutsch, Respondents. All Rights Reserved REPRESENTATION OF PARTIES Lawrence D. Bain ("Claimant") was represented by Jesse B. Simpson, Esq., of Lewis & Roca, 'Phoenix, Arizona. : ; ; ivv n

N .A.S.D. AWAKD J/fc- ^08335 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charlotte Vollmer, as Trustee for L&R Construction Company, Inc. Pension Fund 95-04562 Name of Respondents © National Association of Raymond, James & Associates, Inc. Securities Dealers, Inc. Robert Thomas Securities, Inc. Amur S. Burchinow All Rights Reserved REPRESENTATION Claimant Charlotte Vollmer,

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Russell H. Ruhl 95-04559 of Respondents Trimark Securities, Inc.; Trimark Securities, L.P.; Roundtable Partners, Inc.; Knight Securities, L.P.; Robert Lazarowitz; and Steven Steinman REPRESENTATION For Claimant: Russell H. Ruhl ("Ruhl") was represented by Peter B. Shaeffer, Esq. of Chicago, Illinois. For Respond

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Winifred A. Balfanz and 95-04557 Name of Respondent Norwest Investment Services, Inc. David Behler Bruce G. Warner ' ; •' : ---.^r\:w: REPRESENTATION OF PARTIES Winifred A. Balfanz ("Claimant") was represented by Paul G.vBursiek, Esq., Pendleton. Friedberg^< • Wilson, Hennessey & Meyer, P.C., Denver, CO. r r •