AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Daniel V. Griffin and 95-04091 Name of Respondent Presidential Brokerage, Inc. Neal Walls Daniel G. Lempe REPRESENTATION OF PARTIES Daniel V. Griffin ("Claimant") was represented by Noel Guardi, Esq., Denver, Colorado. Presidential Brokerage, Inc. ("Respondent Presidential") Neal Walls ("Respondent Walls") and Daniel G.

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Charles Schwab & Company, Inc. 95-04088 Name of Respondent/Counter-Claimant Frederick M. Kalita REPRESENTATION For Clamant/Counter-Respondent: Charles Schwab & Co., Inc. ("Schwab") was represented by Jill Thompson Calian, Esq. of Sonnenschein Nath & Rosenthal, located in Chicago, ttlinois, For Respondent/Coun

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-04085 Name of Respondent & National Asscc^nor, Franklin Kepler All Rights REPRESENTATION Claimant PaineWebber, Inc. ("Claimant") was represented at the hearing by Thomas M. Mierswa, Jr., Esq. of PaineWebber, Inc. Respondent Franklin Kepler ("Respondent") was represented at the hearing by Herbert R. Rube

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold A. and Meryl Robinson, JTWROS 95-04075 Name of Respondents Straiton Oakmont, Inc. Stacey Ann Yonkus lira claim filed with the National Association of Securities Dealers, Inc. on August 16/l995;;0aiiEra]ts t Harold A. and Meryl Robinson, JTWROS, who appeared Pro Se, alleged that they agreed tojpiitchase.i and to sell Uni

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05323 H. Joseph Chou, Claimant vs. Morgan Stanley Dean Witter and Mark Bergman, Respondents. ATTORNEYS: For Claimant, H. Joseph Chou, ("Claimant") appeared Edward W. Russey, III, Esq. of the firm Oswald & Yap, Irvine, CA . Respondents Morgan Stanley Dean Witter and Mark Bergmann, (collectively "Respondents"), appeared through Douglas F. Stone, Esq., in-house counsel for Dean Witter Rey

03/10/98 TUE 12:14 FAX NASD REGULATION i]003 AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Rafael Healy and Patricio Healy, Claimants, and No- 95-04073 D.E. Frey & Company, Incorporated, Peter Sperling, and Kenneth Sperling, Respondents. REPRESENTATION OF PARTIES Claimants, Rafael and Patricio Healy, were represented by Stuart J. Dow, Esquire and Franci Crane, Esquire of Susman Godfrey

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant James M. Higginbotham 95-04067 Name of Respondents Bear, Stearns & Co., Inc.; Jeffrey C. Samsen REPRESENTATION For Claimant: James M. Higginbotham ( N Higginbotham") appeared pro se. For Respondents: Bear, Stearns & Co., Inc. ("Bear Stearns") and Jeffrey C. Samsen ("Samsen") were represented by Nicholas P. lavarone,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between N iT.e of Claimants Niki N. and Harry N. Demakis 95-04065 Name of Respondents JosephthaJ Lyon & Ross Inc. Victor Tony Duque In a claim filed with the National Association of Securities Dealers, Inc. on August 24, 1995 Glaimants Niki N. Demakis and Harry N. Demakis ("Claimants"), who appeared Pro Se, aUeged< that^^held^ and account #690-06245-1-8

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jerry T. & Patricia H. Love 95-04060 Name of Respondent Edward L. Rowell CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 23, 1995 Claimants Jerry T. and Patricia H. Love ("Claimants"), who appeared Pro Se, alleged that they held an account at Cohig & Associates, Inc. and that t

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert Jones Cf ' 7 95-04058 b I - Name of Respondent Salomon Smith Barney, Inc. REPRESENTATION Claimant Robert H. Jones ("Claimant") was represented by Laurence S. Moy, Esq. and Christopher C. PanarelU, Esq. of the law firm of Liddle & Robinson, L.L.P., New York, NY. Respondent Salomon Smith Barney ("Respondent") was r