N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Douglas G, Allan, til 95-03487 Name of Respondents Joe D. Kinlaw Kinlaw Securities Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 19, 1995, Claimant Douglas G. Allan III, who appeared Pro Se, alleged that Respondents Joe D. Kinlaw ("Kinlaw") and Kinlaw Securities Corp.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ralph E. and Pamela W. Myers 95-03484 Name of Respondents Edward D. Jones & Co. David F. Wortman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 19, 1995, Claimants Ralph E. and Pamela W. Myers ("Claimants"), who appeared Pro Se, alleged that Respondents Edward D. Jones & Co.

NASD Arbitration No. 95-03483 N.A.S.D. AWARD NATIONAL ASSOCIATION QF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name o£ Claimant(s) Orrin Whitney Matthews and Mildred Warren Matthews, Trustees of the Matthews Family Revocable Trust Dated 8/17/82 Name of Respondent(s) Dean Witter Reynolds Inc. Joseph H. Kimura REPRESENTATION For Claimants: Jeffrey P. Lendrum, Esq., Post Kirby Noonan & Sweat, San Diego, C

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitnit-ton Between Name of Claimant Joseph A. Sommer and NASD Case Number: 95-03478 Name of Respondents Stratton Oakmont, Inc.; and Christopher Francis Castaldo REPRESENTATION OF PARTIES Claimant Joseph A. Sommer, Esq. appeared pro se. Respondents Stratton Oakmont, Inc. and Christopher Francis Castaldo were represented by Michael P. Gilmore, Esq. of Wexler

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant George E. Anderson 95-03472 Name of Respondent Prudential Securities, Inc. REPRESENTATION Claimant George E. Anderson ("Claimant") was represented by Gerald Chalpin, Esq. and James G. Wiles, Esq., Ellsworth, Wiles & Chalpin, Philadelphia, PA. Respondent Prudential Securities, Inc. ("Respondent") was

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Gina Robins Case No. 00-05311 Name of Respondent E*Trade Securities, Inc. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Gina Robins ("Robins"), hereinafter referred to as "Claimant": David A. Weintraub, Esq., Fort Lauderdale, Florida. For E*Trade Securities, Inc. ("E*Trade"), hereinafter also referred to as "Respondent": Jo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Berton Seltzberg 95-03470 Name_of_Resnondent Gabelli & Company, Inc. REPRESENTATION Claimant Berton Seitzberg ("claimant") appeared pro se. For respondent Gabelli & Company, Inc. ("respondent") appeared Dina F. Micalizio, Esq., Associate Counsel of Gabelli & Company, Inc. tr CASE INFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Ohio Company 95-03464 Name of Respondent Jack Wade REPRESENTATION For claimant The Ohio Company (''claimant") appeared Marion H. Little, Jr., Esq. of the law firm of Zeiger & Carpenter, located in Columbus, Ohio. Respondent Jack Wade ("respondent") did not appear at the hearing, CASE INFORMATION Statement of Claim w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James G. Cassani Award No. vs. 95-03462 Maine f Respondents © National Association O f Securities Dealers, Inc. .ntal & Co., Inc. Steven Querzoli All Rights Reserved REPRESENTATION For Claimant, James G. Cassani ("Claimant"), David Bunis, Esq. from the firm of Dwyer & Collota, located in Boston, Massachusetts.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Ralph H. & Sylvia Price Residuary Trust by Elaine Grote. Trustee. Claimants. v. No. 95-03457 Olde Discount Corporation, and Brett M. Blasdel. Respondents. Associaijon of Dealers, Inc. REPRESENTATION OF PARTIES Claimant Ralph H. & Sylvia Price Residency Trust by Hlaine Grote, Trustee. ("Trust") was represented by Robert J. Bauman. Esq