N.A.S.D. AWARD NATTOMAL ASSENTATION OF SECPRTTTES PEAT .BBS. INC. In the matter of the Arbitration Between Name of Claimant (s) Joan C. Kitchen NASD Arbitration No. 95-01917 Dean Witter Reynolds Inc. TCW Asset: Management Compan REPRESENTATION For Claimant: Gary Y. Gkuda, Egg., Leu fc QJcuda, Honolulu, Hawaii For Respondent Dean Witter Reynolds Inc.; Paul Allen, Esq., Dean Witter Reynolds Inc., San Francisco, California For Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Richard & Charlotte Astalos 95-01914 Names of Respondents Olde Discount Corporation Richard D. Gurchak Frank L. Thomas REPRESENTATION For Claimants, Charlotte L. Astalos and Richard J. Astalos ("Astalos"): Allan J. Fedor,Esq. and Franell Fedor,Esq. of Fedor & Fedor, of Largo, Florida. For Respondents, Olde Discount Co

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant George A. Youngman and 95-01912 Name of Respondent Gregory D. Weinstein Brookstreet Securities Corp. Portfolio Management Consultants, LTD. Stanley C. Brooks REPRESENTATION OF PARTIES George A. Youngman ("Claimant")was represented by Thomas A. Polich, Esq., Denver, Colorado. Gregory D. Weinstein ("Respondent Weinstein

RPR.14.1999 10:14AM NO.829 P. 21 AWARD NASD Regulation, Inc. In the Matter of ti» Arbitration Between Name Lawrence Starr Name of Respondent Prudential Securities, Inc. 95-01908 REPRESENTATION For Claimant Lawrence Starr ("Starr"): Lee H. Schillinger, Esq. and John Brekka, Esq, of Lee H. Schillinger, P. A., Hollywood, Florida. For Respondent Prudential Securities, Inc. ("PSI"): Richard Martens, Esq. of Boose Casey Ciklin Lubi

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Commonwealth Associates 95-01904 Name of ftesppndentfs) Marc R. Lunderman REPRESENTATION For Claimant appeared Allan N, Taffet, Esq. of Tenzer GreenBlatt, LLP, New York, New York. Respondent appeared Pro Se. CASE INFORMATION Statement of Claim filed: April 17, 1995. Claimant's Submission Agreement signed on: March 20, 1995,

N.A.S.D. REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Commonwealth Associates 95-01903 Name of Respondent Thomas J. Littleton REPRESENTATION For Claimant, Commonwealth Associates, appeared J.P. Wilson, Esq. in-house counsel for Commonwealth Associates, located in New York, New York. Respondent, Thomas J. Littleton, did not appear at the evidentiary hearing conducted in this matter.

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between . Name of Claimant Susan C. Evans Name of Respondents Interstate/Johnson Lane Richard Draffin 95-01901 REPRESENTATION For Claimant, Sydney L. Cottingham, Esq., of the law firm Cottingham & Porter, P.C., located in Douglas, Georgia. For Respondent Interstate/Johnson Lane ("Interstate"), Pamela P, Warnement, Esq., of Interstate, located i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paine Webber ^ Inc. 95-01900 Name of Respondent Kenneth Mahoney REPRESENTATION For Claimant appeared Evan J. Charke, Esq. of PaineWebber, Inc.. For Respondent Kenneth Mahoney appeared Dan Druz, Esq. CASE INFORMATION Statement of Claim was filed on April 18, 1995. Claimant's Submission Agreement was signed on April 13, 1

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant The Harris Assets Revocable Trust and Name of Respondent First Southwest Company 01-00958 Denver, Colorado REPRESENTATION OF PARTIES The Harris Assets Revocable Trust ("Claimant") was represented by Robert L. Wright, Esq. of Gardere Wynne Sewell LLP. located in Dallas, Texas. First Southwest Company ("Respondent") was represented by Cheryl J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant August E. Nies v. Name of Respondents Diversified Securities, Inc. and Louis S. Faubert NASD Arbitration No. 95-01891 For Claimant: For Respondent: REPRESENTATION Richard Sacks Investors Recovery Service Novato, California James Geffner, Esq. Burbank, California CASE INFORMATION Statement o