NASD REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John S. and Linda M. Ellis 95-04029 Merrill Lynch Pierce Fenner & Smith Inc Jack S. Richardson REPRESENTATION For Claimants John and Linda Ellis ("claimants") appeared Steve J. Gard, Esq., of the law firm Page & Bacek located in Atlanta, Georgia. For Respondents Merrill Lynch Pierce, Fenner & Smith, Inc. ("Merrill

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John G. Kinnard and Company, Inc. 95-04028 Name of Respondent Mark J, Linehan w ( REPRESENTATION Claimant, John G. Kinnard & Company, Inc. was represented by F. Chet Taylor, Esq. of John G. Kinnard & Company, Inc., Minneapolis, Minnesota. Respondent, Mark J. Linehan was represented by Conine D. Lynch, Esq. of Bloomi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Lee Ward and Lee Ward, representing Richard Ward NASD Arbitration No. 95-04022 Name of Respondent(si Jack Van Cleave Crowell, Weedon & Company REPRESENTATION For Claimants: G. Mark Brewer, Esq., La Jolla, California For Respondents: David M. Bartholomew, Esq., Keesal, Young & Logan, Long Beach, California

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven Pribis, Jr. 95-04021 Name__Qf Respondents Smith Barney Shearson, Inc. (n/k/a Smith Barney, Inc.) Gilbert R Hartman REPRESENTATION Claimant Steven Pribis, Jr. ("Claimant") appeared at the hearing pro se. Respondents Smith Barney Shearson, Inc. ("Smith Barney") and Gilbert F. Hartman ("Hartman") were represented

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tiamat, Inc., Claimant v. Charles Schwab & Co., Inc., Respondent Case Number: 00-05316 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: George C. Montgomery, Esq. Greenspan, Glasser & Rosson Culver City, California For Respondent: Curt H. Mueller, Esq. Charles Schwab & Co., Inc. San Francisco, California CASE INFORMATION Stateme

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant James L. Gensler Case No. 00-00538 Hearing Site: Milwaukee, Wisconsin N-3rn.fi nf T? p.snnndp-nt Barren Chase Securities, Inc.; and Craig Leszczak WF.PPF.Sy.MT A ° Claimant James L. Gensler ("Gensler") was represented by Mark Sanders, Esq., of the firm of Hailing & Cayo, S.C, located in Milwaukee, Wisconsin. Respondent Barron Chase Securitie

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant. Ronald C.. MacLeod, 95-04020 Name of Respondent, PaineWebber, Inc. REPRESENTATION Claimant Ronald C. MacLeod ("Claimant") was represented by Marvin Granath, Esq. of ' Granath & O'Donnell, P.A. located in St. Louis Park, MN, Respondent PaineWebber, Inc. ("Respondent") was represented by Robert Zeglovitch, Esq. of Leonard, S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel L. Brenning 95-04016 Name of Respondents The Ohio Company Ralph R. Feamster CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on August 22, 1995, Claimant Daniel L. Brenning ("Claimant 11 ), who appeared Pro Se, alleged thai Respondents The Ohio Company ("TOC") and Ralph

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas H. Lambie 95-03553 Marns ct" Respondent A.G. Edwards & Sons, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 21, 1995, Claimant Thomas H. Lambie ("Claimant"), who appeared Pro Se, alleged that Respondent A.G. Edwards & Sons, Inc. ("Respondent") through its representati

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Andreu Work Out Wear Inc. 95-03551 Name of Respondent Rickel & Associates Inc. Brian Mihok Wolf Financial Group, Inc. REPRESENTATION Claimant Andreu Work Out Wear, Inc. acted pro se. For Respondent Rickel & Associates, Inc. ("Rickel' 1 ): Vincent P. Sarnatora, Senior Vice President, Director of Compliance, Ricke