N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mel and Dixie Greb 95-01187 Name of Respondents Dean Witter Reynolds, Inc. Anthony Picozzi CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 7, 1995, Claimants Mel and Dixie Greb, through their counsel, Joseph F. Kyle, Esq. of Las Vegas, NV, alleged that Respondent Dean Witter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kevin Doyle, (Claimant) vs. Cambridge Capital LLC, Wexford Clearing Services Corporation, Thomas Rossi, Frances Thomas LLC, Michael Kempner, Barbara Kempner, Steven Etra, Emil Buckner, Gary Granoff, Steven Kobren, Walter Lieb, Warren Sabloff, and Jay Vidders, (Respondents) Case Number: 00-04615 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Kevin Doyle, her

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between William S. Gray Claimant, v. No. 95-01185 Smith Barney, Inc., Therese M. Obringer, and A. George Saks Respondents. REPRESENTATION OF PARTIES Claimant William S. Gray ("Claimant") was represented by Jonathan Kord Lagemann, Esq. of Law Offices of Jonathan Kord Lagemann located in New York, New York. Respondents Smith Barney, Inc. ("Smith B

V A.g-P. AWAPT> MATIflMAT. ASSOrTATTQN OF SPrTTRrtmS DRATJKRS, TTtfC In the matter of die Arbitration Between -v Mama David B. Rcadermaflu Inc. NASD Arbitration No.95-01184 n Unterberg Harris* L.P k For Claitnam: Duyl S. Laady, Esq.. Steefcl Levitt & Weiss, San Francisco, California For Respondent: Susan J. Harriman, Esq., Kcker & Van Nest, San Francisco, California Stateowmt of Claim filed: Match 7, 199S Claimant's Submission Ag

N.A S TV AWARD MATTOMAT AggQTTATTnM OF SFTf IBTTIBS HPAT FttS In the matter of the Arbitration Between Nfame nf Claimants Richard G. Rew, Tsugami I. Rew, Jonathan T. Rew and Maya M. Rew v. NASD Arbitration No. 95-01182 John Andrew Lee and Smith Barney Harris Upbam & Co., Inc. For Claimants: Richard G. Rew, In Pro Per For Respondents: Sean J. Coughlin, Esq., Smith Barney Harris Upham & Co., Inc. New York, New York C ASF Statement of Claim

AW ART) MATTONAT. ASSnrjATTnN OF SFCTTRTTP3S HFAT F^53 TNP In the matter of the Arbitration Between Name nf Plaj Michael Klinger NASD Arbitration No.95-01181 Name of Respondent National Discount Brokers, Inc. For Claimant: Carl Carlson, Esq., Cutler & Nylander, Seattle, Washington For Respondent: Michelle, Fisher, Esq., National Discount Brokers, New York, New York Statement of Claim filed: March 7, 1995 Claimant's Submission Agreeme

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sonia Varun Family Limited Partnership 95-01177 Name of Respondents J.B, Oxford & Co. Fred Deveraux REPRESENTATION For Claimant Sonia Varun Family Limited Partnership ("Claimant"): Vinay Gulati, General Partner of the Sonia Varun Family Limited Partnership, For Respondent JB Oxford & Co. ("JfiOC"): Scott G. Monson, Asso

Award NASD Dispute Resolution, Inc. In the Matter or the Arbitration Between Michael Kukanza and Carmine Ricciardi (Claimants) vs. Merrill Lynch Pierce Fenner & Smith Inc., Joseph D. Argilagos, Paul Mulvaney, T.J. Lim and Rosanna Fazio (Respondents) Case Number: 95-01175 Hearing Site: New York, New York Consolidated with 95-01054 REPRESENTATION OF PARTIES Claimants, Michael Kukanza ("Kukanza"), and Carmine Ricciardi, ("Ricciardi"), hereinafter refer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eunice E. Moore 95-01174 Name of Respondents Richard C. Schwab Raymond Dillon CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 6, 1995, Claimant Eunice E. Moore, who appeared Pro Se, alleged that Respondents Richard C. Schwab ("Schwab") and Raymond Dillon ("Dillon"), are doing

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Wilmer and Helen Mirtsching 95-01172 Name of Respondent(s) Cowen & Company Thomas James Associates, Inc, Bob Wood Paul Gray Jim Roney and JefTFriedensohn REPRESENTATION Helen and Wilmer Mirtsching ("Claimants") were represented by William S. Shepherd, Esq. of William S. Shepherd & Associates located in Houston