N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECIJRITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jerome T. Butkus 95-01398 Name of Respondent Thomas James Associates CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimant Jerome T. Butkus, who appeared Pro Se, alleged that Respondent Thomas James Associates, Inc. ("TJA"), through its representatives Brad Silver (

12. N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant PaineWebber, Inc. NASD Arbitration No.95-01396 Name of Respondent Fred J. Kaping REPRESENTATION For Claimant: Catherine Pratt, Esq., Paine Webber, Inc., Los Angeles, California For Respondent: Respondent did not enter an appearance. CASE INFORMATION Statement of Claim filed: March 20, 1995 Claimant's S

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Tom George Mueller, and Marsha Rose Mueller. Claimants. No. 95-01395 Bear Stearns & Co., Inc.. and Ronald Scott Diamond. Respondents. REPRESENTATION OF PARTIES Claimants Tom George Mueller and Marsha Rose Mueller ("Claimants") were represented by Gaar W. Steiner, Esq. and Heidi J. Zeeb. Esq. of Steiner & Schoenfcld located in Milwaukee. Wisc

I Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven E. Brown, Claimant v. Cal Fed Investments, California Federal Savings and Cynthia Robinson, Respondents Case Number: 00-04645 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Steven E. Brown: For Respondents Cal Fed Investments, California Federal Savings and Cynthia Robinson: William E. Winfield, Esq. Nordman,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Prime, Smith & Co. Name of Respondents Luther, Smith & Small, Inc. and Michael Luther For Claimant: For Respondent: REPRESENTATION Jeffry M. Bauer, Esq. Grosse Pointe, Michigan Audwin Carey Spence Inglewood, California CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed:

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Esther and Steven Cohen 95-01389 Name of Respondent Bane One Securities Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimants Esther and Steven Cohen ("Claimants"), who appeared Pro Se, alleged that Respondent Bane One Securities Corporation ("Responden

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert Elmer Claimant, v. 95-1388 Jesse Gonzales, AMR Securities, Inc., Respondents, REPRESENTATION OF PARTIES Claimant, Robert Elmer, was represented by Hobert T. Douglas, Esq., of Robert T. Douglas n P.C. & Associates located in Arlington, Texas. Respondent AMR Securities, Inc. was represented by Tony Elgindy, of AMR Securities, Inc.

NASD REGULATION, INC. AWARD Case No. 95-01385 In the Matter of the Arbitration Between Name of Claimants Robert and Jean Olen vs. Name of Respondents Oppenheimer & Co., Inc. Strasbourger Pearson Tulcin & Wolff Inc. Haskell Israel REPRESENTATION For Claimants Robert and Jean Olen ("Claimants") appeared Christopher J. Calabrese, Esq., of the firm Elliot, Stern & Calabrese, LLP, located in New York, New York. For Respondent Oppenhei

N.A.S.D. AWARD N/:' A .?ON.4L ASSOCIATION OF SECURITIES DEALERS In me Matter of rhe Arbitration Between Name of Claimants) Express Drugs, Inc. and Chaoying Chen 95-01383 Name of Respondentfs'l The Harriman Group, Inc. John Bosco REPRESENTATION The Claimants, Express Drugs, Inc. ("Express Drugs") and Chaoying Chen ("Chen"), collectively ("Claimants"), appeared Pro Se. For Respondents, The Harriman Group, Inc. ("Harriman") and John

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Abbas & Deborah Sadriwalla 95-01382 Name of Respondents Smith Barney Shearson, Inc. Ken Arnold REPRESENTATION For Claimants Abbas and Deborah Sadriwalla ("The Sadriwailas"): David A. Coven, Esq. of Fort Lauderdale, Florida. For Respondents, Smith Barney Shearson, Inc. ("Smith Barney") and Ken Arnold ("Arnold"):