AWARD NASD REGULATION, INC., , OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Roy Beal NASD Regulation, Inc. Arbitration No. 95-01414 Name of Respondents Andrew Bleeden and William Lawrence Securities, Inc. REPRESENTATION For Claimant: Roy Beal, In Pro Per San Pedro, California For Respondents: Raymond Niesslen William Lawrence Securities, Inc. Missoula. Montana CASE INFORMATION

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kurt Markstein Claimant NASD Arbitration v. No. 95-01412 Prudential Securities Michael Appelbaum Respondents REPRESENTATION OF PARTIES Kurt Markstein ("Claimant") represented himself, pro se. Prudential Securities and Michael Appelbaum ("Respondent") were represented by Arthur G. Baumgartner, Prudential Securities, New York. CASE INFO

STIPULATED AWARD NASD Dispute Resolution, Inc* In the Matter of the Arbitration Between; Michelle A. Irwin, Michelle A, Irwin Retirement-Roth, Michelle A. Irwin IRA-Standard, Michelle A. Irwin for Chrystal Ventimiglia UTMA/CA, and Ashley Burrell, Rick Saivetti and Morgan Stanley Dean Witter. Case Number: 00*04647 ^ REPRESENTATION Of PARTIES For Claimant: David Mi Hollingsworth, Esq. Monterey, CA. For Respondents: Janet T. Epstein, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter tff the Arbitration Between Name of Claimant Demetres Tsimis 95-01410 Name of Respondent Kidder, Peabody & Co., Inc, REPRESENTATION For Claimant Demetres Tsimis ("claimant") appeared Carla E. Craig, Esq., with the firm Hertzog, Calamari & Gleason, New York City, New York. For Respondent Kidder, Peabody & Co,, Inc. ("respondent") appeared Jodi M. Posner, Esq., Assista

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard L. Herman 95-01406 Kame of Respondents A.s. Goldmen & Co., inc. Christopher John Albert Richardson REPRESENTATION Claimant Richard L. Berman ("Claimant") appeared at the hearing "Pro se". Respondents A.S. Goldmen & Co., Inc. ("Goldmen") and Christopher John Albert Richardson ("Richardson") were represented at th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS JT In the Matter of the Arbitration Between Name of Claimant George Forrester c/f Victoria Forrester UGMA NY 95-01405 Name of Respondent^ William C. Ostrand Corporate Securities Group,Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimant George M. Forrester c/f Victoria Forrester UGMA NY ("Claimant"), who appeared

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harvey E. and Elsie E. Thompson 95-01403 Name of Respondents Lance R. Cuoco Lew Lieberbaum & Co., Inc. CASE SUMMARY in a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimants Harvey E. and Elsie E. Thompson ("Claimants"), who appeared Pro Se, alleged that Respondents Lew Lieberb

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * > Name of Claimants Norman and Marcia Brooks 95-01402 Name of Respondents PaineWebber, Inc. James E. Bandler Ladenburg/Thalmann & Co.,Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995 Claimants Norman and Marcia Brooks ("Claimants"), who appeared Pro Se, alleged that it held

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Richard L. Bennan 95-01401 Narna of Respondents Stratton Oakmont,Inc. Darnell Beall CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc., on March 20, 1995, Claimant, Richard L. Bennan, who appeared Pro Se, alleged thai Respondent Dairell Beall of the Respondent firm, Stratton Oakmont, Inc., recommend

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles W. G. Caruso 95-01399 Name of Respondent A.T. Brod&Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimant Charles W. G. Caruso, who appeared Pro Se, alleged that Respondent, A.T. Brod & Co., Inc. incorrectly approved a trade on Claimant's account whi