Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Merrill Lynch. Fenner &; Smith, and Inc. v. Mark Ratterree and Hill County Reality Company Case Number: 00-04616 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith. Inc., hereinafter referred to as "Claimant": A. Michael Ferrill. Esq. of Cox & Smith, San Antonio, Texas. Respondents Mark Ratterree and Hill County Reality he

NASD REGULATION AWARD NASD Regulation, Inc., Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gary M. Towers 95-01215 Name of Respondents Olde Discount Corporation; Al Rosenberg REPRESENTATION For Claimant: Gary M. Towers ("Towers") was represented by James J. Eccleston, Esq., of Uscian & Eccleston, Chicago, Illinois. For Respondents: Olde Discount Corporation ("Olde") and Al Rosenberg ("Rosenberg") were r

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant Robert Thomas Securities, Inc. 95-01209 Name of Respondent Richard H. James CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1995, Claimant Robert Thomas Securities, Inc., through its President Stephen Putnam, Cranston, R.I., alleged that Respondent Richard H. James, made unauthorized trades in Susan and Robert Findesen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Tom O. Manown 95-01202 Name of Respondent Josephthal, Lyon & Ross, Inc., and John M. Riedl REPRESENTATION For Claimant: Gary D. Stokes of the law firm of Lamberth, Bonapfel, Cifelli, Willson& Stokes, P.A., Atlanta, GA. For Respondents: Robert E. Murphy, Esq., Deputy General Counsel for Josephthal, Lyon & Ross, Inc., New York, N

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Lamar Neill and Rose Neill and Case No. 95-01197 Names of Respondents William J. Thomas, T.L. Smith Securities, Inc. Louis N. Dunklin, Texas Securities, Inc., David A. Yarbrough, Sara B. Sharpe, Joseph E. Spencer, LeeD. Hobbs, Paul J. Ellenburg, Southwest Securities, Inc. and James N. Beatty REPRESENTATI

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Misty Corp., Inc. and Anglo, Inc. Claimants, v. No. 95-01195 Harold L. Mall and Weber Investment Corp. Respondents. REPRESENTATION OF PARTIES Claimants Misty Corp., Inc. and Anglo, Inc. were represented by Steven R. Dunn, Esq. of Law Firm of Steven R. Dunn located in Dallas, TX. Respondent Harold L. Mall was represented by Cheryl

N.A.S,D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Glynn James Eddie James Doug James Elizabeth K. James Kathy James Robert W. James Robert W. James, Jr. Sylvia James Calvin Ray Keel James H. Keel 95-01194 Name of Respondents Greenway Capital Corporation Stacey Lee Davis REPRESENTATION Claimant Glynn James, Eddie James, Doug James, Elizabeth K.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gary Hart 95-01191 Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION For Claimant: Gary Han ("Hart") was represented by James J. Moylan, Esq. of Arnstein & Lehr, located in Chicago, Illinois. For Respondent: Fidelity Brokerage Services, Inc. ("Fidelity") was represented by Susan J. Magar, Esq. of Altheimer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Terry Ripple 95-01190 Name of Respondents Kemper Securities, Inc. Mark W. Purnell CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 8, 1995, Claimant Terry Ripple, who appeared Pro Se, alleged that Respondents Mark W. Purnell ("Purnell") and Kemper Securities, Inc. ("KSI"), rec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Max K. Scheibner 95-01188 Name of Respondent James H. Gilchrist, Sr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 6, 1995, Claimant Max K. Scheibner ("Claimant"), alleged that Respondent James H. Gilchrist, Sr. ("Respondent"), made unsuitable recommendations which he followed