N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Pramod Chandra 95-04550 Name of Respondent Alaron Securities Corp. REPRESENTATION For Claimant Pramod Chandra ("Chandra"): Stuart S. Mermelstein, Esq. of Quarles & Brady, West Palm Beach, Florida. For Respondent Alaron Securities Corp. ("Alaron"): Jeffrey M. Isaacson, Esq. of Weinstein and Bacci Ltd., North Riverside, Illin

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Incorporated and Name of Respondent Alex Montez. Jr. V Natnhi&l Association or Securities Dealr- -c. AU Rights Reserved Case Number 95-04546 REPRESENTATION OF PARTIES ' ' - Caimant") W£S ". ' ; ..,.'. ./_. ;,;-,:- • ; - - - r ; r

NASD Regulation, IDC. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant American Contract Bridge League, Inc. vs. 95-04545 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Matthew T. Guagliardo, Bank One, Columbus, N.A. and Name of Third Party Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. : Name of Third Patty Respondent^: .;. .u^y 1^, America

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between - —- Henry L. Nadler, MD, and Benita Nadler, Claimants, v. No. 95-04544 Michael E. Dockendorf, and Kidder, Peabody & Co., Incorporated, Respondents. REPRESENTATION OF PARTIES Henry L. Nadler, MD, and Benita Nadler ("Claimants") were represented by John R. Callahan, Esq., Scpttsdale, Arizona. . t uou^bic, Michael E. Dockendorf

-A. N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS © National Association of Securities Dealers, Inc. In the Matter of the Arbitration Between Name of Claimant^ All Rights Reserved William E. Ohland 95-04535 Name of Respondents) B.C. Ziegler & Company CASE SUMMARY [n a claim filed with the National Association of Securities Dealers, Inc. on September Claimant William E. Ohland, who appeared Pro Se, alleged that on or about

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01055 State Street Securities, Inc., claimant vs. Marcus Ramos, respondent. ATTORNEYS: For Claimant appeared Lawrence S. Leibowitz, Esq., of the firm Wexler & Burkhart, P.C., Mitchel Field, NY. Respondent did not submit a response to the Statement of Claim. DATE FILED: March 2, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance in his customer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Stefaniak 95-04534 Name of Respondents Marsh Block and Co. John A very t REPRESENTATION For Claimant Michael T. Stefaniak appeared Anthony J. Horn, Esq., Philadelphia, PA. For Respondent Marsh Block & Co. appeared David W. Parsons, Marsh Block & Co., Inc., New York, NY. Respondent John Averyt appeared David W. P

AWARD NASD REGULATION, INC, OFFICE OF DISPUTE RESOLUTION _ In the matter of the Arbitration Between Name of Claimant Norman Zalben v. Arbitration No. 95-0452? Name of Respondents Kent Perkers, William Lawrence Securities, Inc., and Bruce Clark • REPRESENTATION For Claimant: Daniel O'Connel, Esq. CU::r Prince, Heuer & O'Connei Los Angeles, California For Respondents: Raymond Niesslein William Lawrence Securities Inc.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anthony J. Parisi, Claimant, t v. No. 95-04522 Ji ** . - . , « • - T € N ' lli °n»l Association of ^Prudential Securities, Inc., Stx untie* Oemer*. i nc Respondent - All Ri£te Reserved REPRESENTATION OF PARTIES Anthony J. Parisi ("Claimant") was represented by Michael Salcido, Esq., Scot

N.A.S D AWARD NAIIQNAI. ASSOCIATION OF SECTJRTTIES DEALERS. INC. In the matter of the Arbitration Between Naqie of Claimants Fenix Research Group, Inc. and Ira S. Lifland Name of Respondents Robert F. Smith, Daniel M. Porush, and Stratton Oakmont, Inc. For Claimant: For Respondent: REPRESENTATION Brian K. Lowe " " " Invesitors Arbtotipn .pervices, Inc. ; Woodland Hills, California , Einhom Los Angeles, California CASE INF