NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Hisham A.F. Knadr 96-03925 Name of Respondents D.H. Blair & Company Jeffrey Woodrow Berns REPRESENTATION Claimant Hisham A. F. Khadr ("claimant") appeared pro-se. For Respondents D.H. Blair & Company ("DHB") and Jeffrey Woodrow Berns ("Berns 11 ) (collectively "respondents") appeared John T. McGuire, Esq. General Counsel and Senior Vice President for

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Irving & Jacqueline Schlusselberg and 96-03916 Name of Respondent J.S. Securities, Inc. Wellington Oswald Rios a/k/a Oswald Wellington a/k/a Oscar Wellington REPRESENTATION OF PARTIES For Irving & Jacqueline Schlusselberg ("Claimant") appeared Eric Ross, Esq. of Fishbein, Badillo, Wagner & Harding located in New York, New York. For J.S. Securiti

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant PaineWebber, Incorporated and Case Number 96-03913 Name of Respondent Daniel F. Barrett ^PRESENTATION OF PARTIES Claimant, PaineWebber, Inc., was represented by Patricia E. Cowart, Esquire of PaineWebber, Inc. located in Fort Lauderdale, Florida. Respondent Daniel F. Barrett, did not fil

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION Prudential Securities, Inc., Claimant. v. Case Number 96-03910 William I.Odom, REPRESENTATION OF PARTIES Claimant, Prudential Securities, Inc. was represented by Michael A. Kraft, Esq. of Gotnberg Kane & Fischer, Ltd. located in Chicago, Illinois. Respondent, William I. Odom was represented pro se. CASE INFORMATION The Statement of Claim of Prudential Securities, Inc. was filed on

N.A.S.D. AWAR& NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClainiant Walter T. Scudder . 96-03909 Name of Respondents Michael Kijanka Joseph Charles & Assoc., Inc. Joseph Charles Visconti Roy Thomas Amico Arnold Levine Geraldine A. Genco REPRESENTATION For Qaimant: Neal I. Blaher, Esq. of the Law Office of Neal J. Blaher, Orlando, Florida. For Respondents: Arnold Levine, Esq. of J

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Emlen William Holmes, Jr., Successor Trustee of the Thomas Hodgskin Dubois and Alice Ballantine Dubois v. Arbitration No. 96-03905 Name of Respondent^ ML Stern & Co., Inc. Robert Yorba For Claimant: Trenton J. Hill, Esq., Jones, Bell, Abbott, Fleming & Fitzgerald, LLP Los Angeles, California For Respondent: J

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Irwin H. Shapiro v. Arbitration No. 96-03904 Name of Respondent Smith Barney, Inc. REPRESENTATION For Claimant: Benjamin Blakeman, Esq. Mantalica & Treadwell Los Angeles, California For Respondent: Etta M. Gumbs, Esq. Smith Barney, Inc. New York, New York CASE INFORMATION Statement of Claim filed: August

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles E. Krpata, Charles and Brenda Krpata Trust, and Charles E. Krpata IRA, Claimants v. Joseph Roberts & Co., Inc., John David Mull, Joseph Frank DeSanto, and Mark James McLain, Respondents Case Number: 00-05176 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Matthew R. Rutherf

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Jerry Midgett, Claimant, v. No. 96-03902 Bear Stearns & Co., Inc., and Damion Carufe, Respondents. REPRESENTATION OF PARTIES Claimant Jerry Midgett ("Claimant") was represented by Erwin Cohn, Esq. of Cohn & Cohn located in Chicago, Illinois. Respondents Bear Stearns & Co., Inc. and Damion Carufef'Respondents") were represented by Terry R. Weiss, Esq. and M. Grah

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joan M. Larsen 96-03901 Name of Respondents E.F. Mutton & Company, Inc. Tim Burkes CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on September 3, 1996, claimant Joan Larsen ("claimant"), who appeared Pro Se, alleged that respondents E.F. Hutton & Company. Inc. ("E.F.