N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Thomas M. Roberts vs. . 92-01847 Name of Respondent! s) World Invest Corporation Pershing/Division of Donaldson. Lufkin & Jenrette Robert McConnack CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on June 02, W2. Claimant Thomas M. Roberts who appeared pro se. alleged that Responden

t N.A.S7D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Werner & Cynthia Endriss et al Award vs. #92-01845 Name of Respondents Josephthal & Co., Inc. Jesup, Josephthal & Co Inc. Bernard Kauderer JJC Securities Co. Inc. Josephthal Lyons & Ross, Inc. REPRESENTATION For Claimants, Werner Endriss, Cynthia Endriss, individually and as custodian for Deborah Endriss

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between N^me of Claimant Sue A. Smoot _- 92-01842 Name of Respondents Shearson Lehman Brothers, Inc.; Carl Weiner REPRESENTATION For Claimant: Sue A. Smoot was represented by John S. Campbell, Esq. of J.S. Campbell & Associates, P.A., located in Albuquerque, New Mexico. For Respondent: Shearson Lehman Brothers, Inc. and Carl Weiner were represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alfred Mannella 92-01835 Name of Respondents Shearson Lehman Brothers, Inc. Erwin J. Riven Steven Knapp REPRESENTATION For Claimant Alfred Mannella ("Claimant"): Eliot Gersten, of Gersten & Clifford. For Respondents Shearson Lehman Brothers, Inc. ("Shearson"), Erwin J. Riven ("Riven") and Steven Knapp ("Knapp"): John Be

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bernard L. Maizlish 92-01834 Name of Respondents Paine Webber, Inc. Gerald M. Rashbaum REPRESENTATION For Claimant Bernard L. Maizlish ("Claimant"): Frederick C. Leiner, Esq. of the law firm Tydings & Rosenberg For Respondents Paine Webber, Inc. and Gerald M. Rashbaum ("Respondents"): Thomas M. Mierswa, Jr., Senior Liti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, In the Matter of the Arbitration Between iy Name of Claimant _! \j Donald W. Douthit and 92-01824 Name of Respondents The Principal/Eppler Guerin & Turner, Inc. and Tom E. Sears, III REPRESENTATION OF PARTIES Claimant Donald W. Douthit was represented by Joe B. Abbey, Esq. of Dallas Texas. Respondents The Principal/Eppler Guerin & Turner, Inc. and Tom E. Sears, III were repre

NASD Dispute Resolution Arbitration No. 01-00906 Award Page 1 of 5 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wedbush Morgan Securities Inc. Case Number: 01-00906 v. Yossi Koren Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Wedbush Morgan Securities Inc., hereinafter referred to as "Claimant": Jerry S. Phillips, Esq., Richman, Mann, Chizever, Phillips & Duboff, Beverly Hills, CA. Pre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Leigh Vance, individually and as trustee L.V. Productions, Inc. NASD Arbitration No. 92-01822 Name of Respondent^ Jean Gallagher REPRESENTATION For Claimants: Leigh Vance, Marina del Rey, California For Respondent: No Appearance by Jean Gallagher CASE INFORMATION Statement of Claim filed: June 1, 1992 Clai

N.A.S.D. AWARD —~" NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between - ~, . _ Name of Claimants David and Mary Hebert -^"- 92-01820 Name of Respondents Dickinson & Co. and Robert Vernon REPRESENTATION OF PARTIES For Claimants at the hearing: Steven L. Addington, Esq., Des Moines, Iowa. For Respondents at the hearing: Thomas M. Swartwood, Esq. of Dickinson & Co., Inc., New York, New York. CASE INFORMA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anan Abu-Taleb ^- No. 92-01816 Name of Respondents Rodman & Renshaw, Inc. James McAnaily REPRESENTATION OF PARTIES For Claimant: James E. Dahl, Esq. of James E. Dahl & Associates, Chicago, Illinois. For Respondents: Howard L. Teplinsky, Esq. of Rudnick & Wolfe, Chicago, Illinois. CASE INFORMATION Statement of Claim file