N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Douglas W. Speed 96-00533 Name of Respondent Prudential Securities, Inc REPRESENTATION For Claimant: Robert J. Winicki, Esq. of the Winicki Law Firm, Jacksonville, FL. For Respondent: Stuart H. Singer, Esq. of the law firm of Kirkpatrick & Lockhart, LLP, Miami, FL. CASE INFORMATION Statement of Claim filed: February 6,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. TNC. In the matter of the Arbitration Between Name of Claimant Michael D. Seeman Name of Respondents Jeff Renley and Diversified Securities, Inc. NASD Arbitration No. 96-00532 REPRESENTATION For Claimant: . For Respondents: CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed: Statement of Answer filed by Respondent: Respondent's Submi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Gary Warburton Pension and Profit Sharing Plan v. NASD Arbitration No. 96-00531 Name of Respondents Robert Scott Securities, Inc., Titan Value Equities Group and William R, Kielty REPRESENTATION For Claimant: James J. Sullivan, Esq. Law Offices of James J. Sullivan San Francisco, California For Respondent Robert S

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter ot" the Arbitration Between Name of Claimant Warner M. Hussonc and Marcella E. Hussone v. Name of Respondent Russell Baicman and Financial Network Investment Corporation Arbitration No. 96-00530 REPRESENTATION For Claimants: For Respondent Russell Bateman: For Respondent Financial Network Investment Corp. James J. Sullivan. Esq. Law Offices Of Jam

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Masataka Uehara 96-00524 Name of Respondent Ron Y. Itin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 5, 1996 Claimant Masataka Uehara ("Claimant"), who appeared Pro Se, alleged that Respondent Ron Itin ("Respondent"), employed at J. Gregory & Co., failed to manage his inves

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05386 Patricia Singer, Claimant vs. Louis M. Searfass, Respondent. ATTORNEYS: Claimant, Patricia Singer, ("Claimant"), appeared Pro Se., Napa, CA. For Respondent, Louis M. Searfass, ("Respondent"), appeared James A. Vollins, Esq., Vice President and Associate General Counsel, First Union Corporation, Charlotte, NC. DATE FILED: December 5. 2000 CASE SUMMARY: Claimant alleged that Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John P. Persons 96-00520 Name of Respondent Smith Barney Shearson, Inc. REPRESENTATION For Claimant John P. Persons ("claimant") appeared Andrew D. Schau, Esq. of Patterson, Bel knap, Webb & Tyler, New York, New York. For Respondent Smith Barney Shearson, Inc. ("respondent") appeared Marion S. Chan, Esq.. Smith Barney Shear

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John A. Haug 96-00519 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 5, 1996, Claimant John A. Haug ("Claimant"), who appeared Pro Se, alleged that Respondent Dean Witter Reynolds Inc. ("Respondent") failed to timely execute a sell

AWARD V NASD REGULATION. INC..OFFICE OFDISPUTE RESOLUTION In the matter of the Arbitration Between Najne of Claimant James W. McDonald, DDS v. Arbitration No. 96-00506 Name of Respondents Titan/Value Equities Group, Inc., Frank Lloyd King, Philip Brace Anderson, Robert H. Osur REPRESENTATION For Claimant J. Leo Federman Investors Rights Association, Inc. Santa Barbara, California For Respondents: G. Thomas Fleming, III, Esq.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Ethel Hyman Schnitt Claimant, v. No, 96-00505 Merrill Lynch, Pierce, Fenner & Smith, Inc., and John O. White, Respondents. REPRESENTATION OF PARTIES Claimant Ethel Hyman Schnitt ("Claimant") was represented by Louis L. Plotkin, Esq. of Gertler, Gertler, Vincent & Plotkin located in New Orleans, Louisiana. Respondents Merrill Lynch, Pierce, F