N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Darren A. Lowe 93-00490 Name of Respondent High Yield Management Securities, Inc. CASE SUMMARY • In a claim filed with the'National Association of Securities Dealers, Inc. on February 9, 1993, Claimant Darren A. Lowe, who appeared Pro Se, alleged that on February 9, 1993 Respondent High Yield Management Securities, Inc., by

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Mitchell Namy 93-00485 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 9, 1993, Claimant Michael Namy, who appeared Pro Se* alleged that he started a trading account in January 1980 with Respondent Dean Witter Reynolds, Inc. where

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert E. Bernard 93-00484 Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 9, 1993 Claimant Robert B. Bernard, who appeared Pro Se, alleged that at approximately 12:40 p.m. on Tuesday, January 19, 1993 he placed a buy order on Respondent's Fidelity Brokerag

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold and Shirley Ross, ttees. 93-00483 * Name of Respondents Prudential Securities, Inc. Gnintal&Co.,Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 9, 1993, Claimants Harold and Shirley Ross, who appeared Pro Se, alleged that Respondents Gmntal & Co., Inc. and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Findlay 93-00481 Name of Respondents MDS Securities, Inc. MDS of New Jersey, Inc. Edward Capozzi William Monteith Wayne Monteith Robert Leonard James Morrissey REPRESENTATION For Claimant William Findlay ("Claimant"): Morgan W. Bentley, Esq. For Respondents MDS Securities, Inc., and MDS of New Jersey

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS David W. Hammel, Claimant/Counterrespondent v. No. 93-00474 Stratton Oakmont, Inc. Joel Grant Respondents/Counterclaimants REPRESENTATION OF PARTIES For Claimant/Counterrespondent ("Claimant"): James A. Walker, Esq., of Tripiett, Woolf & Garretson, Wichita, Kansas. For Respondents/Counterclaimants ("Respondents"): Jacob Zamansky, Esq. of Finkelstein, Bruckman, Wohl, Most & Roth, N

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05049 Merrill Lynch, Pierce, Fenner, & Smith, Inc., claimant vs. KNA Partners, John Beeson, Paul Sirota, and John Howenstone, respondents. ATTORNEYS: For Claimant appeared Suzanne S. Killian, Esq., of the firm Ogden, Gibson, White & Broocks, LLP, Houston, TX. Respondents did not respond to the Statement of Claim. DATE FILED: November 14, 2000 CASE SUMMARY: Claimant alleged that

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of rii M.S. Farreil&Co.,Inc. 93-00469 ft of Respondents Stanley Galka Krakus Realty Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 9, 1993, Claimant M.S. Farrell & Co. , Inc. , by and through their in-house counsel James L. Rothenberg, Esq. alleged that John Ba

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lola Pearl 93-00467 Name of Respondents First Albany Corporation Maria Saulino Larry Doyle REPRESENTATION For Claimant Lola Pearl ("Pearl"): Ruthann Niosi, Esq. For Respondent First Albany Corporation ("First Albany"): James M. Reilly, Esq. of Herzog, Engstrom & Koplovitz. For Respondent Maria Saulino ("Saulino"}: M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECI7RITTES DEALERS. INC. [n the maner of the Arbitration Between Name of Clajmant Speiman & Co., Inc. NASD Arbitration No. 93-00466 v. Name pf Respondent Sharon P. Saunders v. Name of Counter-Claimant Richard P. Woltman REPRESENTATION For Speiman & Co. and Richard Woltman: Kevin K. Fitzgerald, Esq., Jones, Bell, Simpson & Abbott, Los Angeles, California. For Sharon Saunders: Michael A.