N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Diane L. Stark 95-01356 Josephthal Lyon & Ross Inc. Jim Conaghan REPRESENTATION Claimant, Diane L. Stark, appeared pro se. For Respondent, Josephthal Lyon & Ross Inc., appeared Robert E. Murphy, Esq. of Josephthal, Lyon & Ross, Inc., located in New York, New York. Respondent, Jim Conaghan, did not appear at the evidentiary

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Max Cohen 95-01351 Name of Respondents Ron Shaya M.L. Stern & Co., Inc. ^ CASE SUMMARY , In a claim filed with the National Association of Securities Dealers, Inc. on March 17, 1995 Claimant Max Cohen, through his representative under a general power of attorney, Stuart Cohen, alleged that Respondents Ron Shaya ("Shaya"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph J. and Helen A. Terry JTWROS 95-01350 Name of Respondents A.G. Edwards & Sons, Inc. Josephthal Lyon & Ross, Inc. John Valdes CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 17, 1995, Claimants, Joseph J. and Helen A. Terry JTWROS ("Claimants"), who appeared Pro Se, al

/ AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Penny DiRocco 95-01348 Name of Respondent Piper Jaffray Inc. REPRESENTATION For Claimant Penny DiRocco ("DiRocco"): Lawrence D. Martin, Esq., of Naples, Florida. For Respondent Piper Jaffray, Inc. ("Piper"): Joseph W. Anthony, Esq. of Fruth & Anthony, Minneapolis, Minnesota. CASE INFORMATION Statement of C

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Theodore K. Cobb and 95-01345 Name of Respondent Andrew E. Gift REPRESENTATION QF PARTIES Theodore K. Cobb ("Claimant") appeared pro se. Andrew E. Gift ("Respondent") appeared pro se, CASE INFORMATION The Statement of Claim was filed on or about March 17,1995. Submission Agreement of Claimant Theodore K. Cobb was sign

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mahmood Ansari (Claimant) v. May, Davis Group and Owen May (Respondents) Case Number: 00-04640 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Mahmood Ansari ("Ansari") hereinafter referred to as "Claimant" appeared pro se. Previously represented by: Marc J. Ross, Esq., Sichenzia, Ross, Friedman &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Smith Barney Shearson, Inc. Eric Fisbman Frank M, Calabrese Alan Gunzal Roman Leniw Richard Flora 95-01340 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. Nyne of Third-Parfo Re^popd^s Peter DePasquale Edward Rodrick REPRESENTATION For Claimants Brie Fishman, Frank Calabrese, Alan Guenzel

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between N^me of Claimant Vladimir Ostromensky 95-01339 of Resondent Smith Barney, Inc. REPRESENTATION Vladimir Ostromensky ("Claimant") was represented by A. Daniel Woska, Esq. of Woska, Hasbrook, Dowd, Underwood &. Helms located in Oklahoma City, OK. Smith Barney, Inc. ("Respondent") was represented by Gary Chilton, Esq. of Andrews, Davis, Legg, B

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant Kyle R. Brown 95-01338 Name of Respondents Fred Devereaux, Jr. J.B. Oxford & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 16, 1995, Claimant, Kyle R. Brown, who appeared Pro Se, alleged that Respondents, Fred Devereaux, Jr. ("Devereaux") and J.B. Oxford & Company ("JBOC"), made misrepresentations and mis-manage

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Louis E, Dequine, Jr., Individually, Louis E. Dequine, Jr., as Trustee of the Louis E. Dequine, Jr. Revokable Trust and Dorothy M. Dequine as Trustee of the Dorothy M. Dequine Revokable Trust 95-01335 Names of Respondents Daniel Porush Eric Blumen Stratton Oakmont, Inc. REPRESENTATION For Claimants Louis E. Dequine, Jr., Individually, Loui