N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of (founts James E. Street, individually, and as Trustee for James E. Street, DBPP 95-01171 Name Lovett Underwood Neuhaus & Webb, Inc.; Kemper Securities, Inc.; Peter J. Cammarano REPRESENTATION For Claimant: James E. Street ("Street"), individually and as'trustee for James S. Street, DBPP, was represented by William S. Shepherd, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Judith Glynn, Larissa St. John, Linda Fontana, Vincent Crispino, Anita Crispino, Michael Horan, Eugene Clancy, Finbar James, Laurence Sullivan, and Mary Sullivan (Claimants) v. First Allied Securities, Inc., Cormac Glynn, Stephanie Failla, Bear Steams Securities Corp., and Kurt Aibel (Respondents) Case Number: 00-04612 Hearing Site: New York, New York REPRESENTATION OF PARTIES C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS . INC. In the matter of the Arbitration Between of Claimant.f s) Ed Snider NASD Arbitration No. 95-01170 Name of Respondent is] Ronald McChesney Consolidated Investment Services, Inc. REPRESENTATION For Claimant: Robert S. Banks, Jr., Esq., Banks, Newcomb & Sacks, Portland, Oregon For Respondent; Dennis W. Lane, Esq., Lane & Marshall, Vancouver, Washington CASE Sta

f SENT BY: 6-14-99 ;ll:35AM INASD ARBITRATION DPT-> 12122087581;# 2/31 HASP SJSGnfrftTIOH. IBC.. OFFICE QP DlSPTTfB RESOIJTTIQN In the matter of the Arbitration Between Name of ni^imfrntIs) Marc J- Rosenberg Arbitration No. 95-01166 Refloent fa) Lehman Brothers Inc. REPRESENTATION For Claimant: Anthony P. David, Esq., San Francisco, California and Jeffrey L, Liddle, Esq., Liddle & Robinson, L.L.P. r New York, New York For

r N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michelle Poll 95-01163 Name of Respondents Montano Securities Corporation Montano Institute of Finance California Quartz David Lopes Daniel Montano Vicky Montano CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 7, 1995, Claimant Michelle Poll, who appeared Pr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Daniel and Emily Onak 95-01162 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 6, 1995, Claimants Daniel and Emily Onak, through their representative, Paul N. Young, C.E.O., of Securities Arbitration Group, in Marina

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants H. Francis Sparks (IRA) Lucille Sparks 95-01161 Name of Respondent BA Investment Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 6, 1995, Claimants, H. Frances Sparks (IRA) and Lucille Sparks ("Claimants"), who appeared Pro Se, alleged that Respondent, BA Inve

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael and Jean Davenport 95-01160 Name of Respondents Prudential Securities Inc. Jeffrey Cole CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 6, 1995, Claimants Michael and Jean Davenport ("Claimants"), through their representative, Charles D. Franken, Esq., located in Pla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John A. Giordano 95-01159 Name of Respondents Raymond S. Rosso Rickel & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 6, 1995, Claimant John A. Giordano ("Claimant"), who appeared Pro Se, alleged that Respondent Raymond S. Rosso ("Rosso"), who worked for So

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sandra Jones, Claimant, v. No. 95-01155 Dean Witter Reynolds, Inc., and Merrill Lynch, Pierce Fenner & Smith, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Sandra Jones was represented by Seth Lipner, Esquire and Herbert M. Deutsch, Esquire both of Deutsch & Lipner located in Garden City, New York. Respondent Dean Witter Reynolds,