AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Richard Schmeling, Claimant, and John Hancock Broker Distribution Services, Inc., Respondent. No. 95-01053 REPRESENTATION OF PARTIES Claimant Richard Schmeling ("Claimant") was represented by Patrick T. Berigan, Esquire of Phillips & Gemignani located in Waukesha, Wisconsin. Claimant was previously represented by Mark J. Rogers, Esq. of Ange

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Name of Claimants Terra S. May Tammy S. Schwieder 95-01049 Name of Respondents Cohig & Associates, Inc. John Morris CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 28, 1995, Claimants Terra S* May ("May"), and Tammy S. Schwieder ("Schwieder"}, who appeared Fro Se, alleged that Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Goldie Engel 95-01043 Name of Respondent Datek Securities Corp. REPRESENTATION Goldie Engel appeared pro se. For Respondent: David Jarvis, Esq., from the law firm of Singer, Bienenstock, Zamansky, Ogele & Selengut, LLP, New York, NY CASE INFORMATION Statement of d^.n filed: February 28, 1995. Claimant's Submission Agree

N.A.SJD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marilyn C. Palmersheim 95-01037 Name of Respondent Lori A. Eckstein CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 27, 1995, Claimant, Marilyn C. Palmersheim, who appeared Pro Se, alleged that Respondent, Lori A. Eckstein, executed transactions for her account without authori

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC CASE: 00-00466 Daniel Groobert, claimant vs. Dean Wit Dawn Orr, respondents. Reynolds, Inc., Andrew Balaban, Luis Fogel and ATTORNEYS: Claimant, Daniel Groobert, appeared Pro For Respondents, Dean Witter Reynolds appeared Allison Barry Doneghey, Esq., Se, Boca Raton, FL. Inc., Andrew Balaban, Luis Fogel, and Dawn Orr, Sarasota, FL. DATE FILED: January 28, 2000 CASE SUMMAR

G'4/06/98 MON 14:31 FAX NASD REGULATION ^003 • 'V NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/Counterrespondent Stifel, Nicolaus & Co., Incorporated and Name of Respondent/CQunterclaimant DeWayne R. Vonfeldt 95-01030 Name of Third-Party Claimant DeWayne R. VonFeldt and Name of Third-Party Respondents Mark D. Knott, and Gregory F.

In the Matter of the Arbitration Between Name of Claimant Marylou B. Currier Name of Respondents Michael R. Siek T.R. Winston & Co.,Inc. 95-01028 REPRESENTATION For Claimant Marylou B. Currier ("Claimant") appeared Max Markus Katz, Esq., a sole practitioner with offices located in New York, New York. For Respondents Michael R. Siek ("Siek") and T.R. Winston & Co., Inc. (" TRWC") (collectively referred to as "Respondents"), appeared Rose Hall

NASD AWARD In the Matter of the Arbitration Between Daryl D. Reavis Claimant NASD Arbitration v. No. 95-01012 Kinlaw Securities Corporation Joe D. Kinlaw Dyke Ferrell Respondents REPRESENTATION OF PARTIES Daryl D. Reavis ("Claimant") represented himself pro se. Kinlaw Securities Corporation and Joe D. Kinlaw were represented by Joe Kinlaw who did not appear. Dyke Ferrell was represented by Stephen T. Johnson, Esq., Mankoff, Hill, Hel

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Loren Gould 95-01008 Name of Resnondent(s) Securities Settlement Corporation H.T. Fletcher Securities, Inc. John Littriello REPRESENTATION For Claimant, Loren Gould ("Gould 11 ): Albert A. Rapoport, Esq. of Boca Raton, Florida. For Respondent, Securities Settlement Corporation ("SSC"): Edmond Dantes of SSC. For

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04591 Winston Chambliss, Claimant vs. J. P. Gibbons & Co., Inc. and losif Pak, Respondents. ATTORNEYS: For Claimant, Winston Chambliss, ("Claimant"), appeared Jay R. Stein, Esq., Los Angeles, CA. Respondents, J. P. Gibbons & Co., Inc. and losif Pak, (collectively "Respondents"), did not respond to the statement of claim. DATE FILED: October 16, 2000 CASE SUMMARY: Claimant alleg