11/01/2001 10:33 FAX XASD REGILATIOX 2|002/008 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mahesh Shah;. (Claimant) vs. Josephtbai & Co., Inc. and Mitchell Van Doff, (Respondents) Case Number: 00-03866 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Mahesh Shah, hereinafter referred to as "Claimant": Joseph Sadow, Esq., Attorney At Law, New York, NY. Respondents, Josephthal & Co., Inc. ("Josepht

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nettie Kamsler Rev. Trust Name of Respondents Raymond James & Associates, Inc. Bruce Rhodes 95-00817 1 1 In a claim filed with the National Association of Securities Dealers, Inc. on February 16, 1995, Claimant Nettie Kamsler Rev. Trust ("Kamsler"), who appeared tjllrough its representatives, Jacob and Nettie Kamsler as

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Colleen Budinsky John Budinsky 95-00815 Name of Respondents A.G. Edwards & Sons, Inc. Gerald J. Buckley REPRESENTATION Claimants John J. Budinsky and Colleen Budinsky ("Claimants"), Vanderbilt, Pennsylvania, appeared pro se. Respondent* A. G. Edwards & Sons, Inc. ("A.G. Edwards") and Gerald J. Buckley ("Buckley") were

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS INC. In the matter of the Arbitration Between Name of Claimant^ Clinton D. Beyerle NASD Arbitration No. 95-00812 Name of Respondent(s) Richard Roundtree, Everett Scoville Walker and Cartwright & Walker Securities, Inc. REPRESENTATION For Claimant: For Respondent Richard Roundtree: For Respondents Everett Scoville Walker and Cartwright & Walker Securities, Inc. Clinton D. B

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Eurocapital Group Ltd., and Neftetech International, Claimants. and No. 95-00797 Goldman Sachs & Company, William Miller, Michael Dawson, James Milligan, and Jerome Wattenberg, Respondents. REPRESENTATION OF PARTIES Claimants, Eurocapital Group Ltd. and Neftetech International, were represented by Evelyn V. Keyes, Esquire of Clements

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Howard K. Skavdahl, Claimant vs. Kevin Syila and John Telfer, Respondents. Case Number: 00-03865 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimant, Howard K. Skavdahl, hereinafter referred to as "Claimant": Howard K. Skavdahl, Richland, Washington Respondent, Kevin Syila: Kevin Sylla, Laguna Niguel, California Respondent, John Telfer: John Telfer, Floral

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Janet R. Handler Revocable Trust Janet R, Handler Revocable Trust 95-007B9 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc John W. Gideon REPRESENTATION For Claimant Janet R. Handler Revocable Trust by Janet R. Handler, Trustee and Henry Handler, Trustee ("Claimant"): Charles Bagley, IV, Esq. o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark E. Davis 95-00781 Name of Respondent Dickinson & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 15, 1995, Claimant Mark E. Davis, who appeared Pro Se, alleged that Respondent Dickinson & Co., sold him an investment which was not suitable and did not properly service

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between " Walter Prossick 95-00775 Nqipe of Respondents Michael Riorden CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 14, 1995, Claimant Walter Prossick, who appeared Pro Se, alleged that he purchased 950 shares of Harvey Universal ("HU") stock from a Mr. Beaulieu. Claimant further alleged that

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Robert A. Sanchez Ramon Santa Coloma Case No. 95-00768 Name of Respondents Prudential Securities, Inc. Leiand Holtzman REPRESENTATION OF PARTIES For Claimants Robert A. Sanchez ("Sanchez") and Ramon Santa Coloma ("Coloma"): Bruce A. Katzen, Esq. of the taw firm of Kluger, Peritz, Kaplan & Berlin, P. A., Miami, Florida,