N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Babcock & Wilcox, Employees Federal Credit Union of Respondent Merrill Lynch, Pierce, Fenner & Smith Inc. 95^00496 REPRESENTATION For claimant Babcock & Wilcox, Employees Federal Credit Union ("claimant") appeared Christopher F. Swing, Esq. of the law firm Brouse & McDowell located in Akron, Ohio. For respondent Merrill Lyn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Money Management Advisory Inc. 95-00493 Name of Respondent Thomas Anderson REPRESENTATION For Claimant Money Management Advisory, Inc. ("Claimant"): John D. Quinn, Esq. and Sarah D. Jackowski from the law firm of Sale, Quinn, Deese & Weiss, P.C. , Washington, D.C. For Respondent Thomas Anderson ("Respondent"): Michael S. Fr

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Terry P. Murphy, Claimant, v. No. 95-00490 Biltmore Securities, Inc., Elliot Loewenstern, Darolyn Colodny, Chris Hyatt, Michael Steinberg, Lee M. Rough, and Richard Bronson, Respondents, REPRESENTATION OF PARTIES Terry P. Murphy ("Claimant") was represented by John J. Miller, Esq., of Nygaard & Miller, Overland Park, Kansa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS PUBLIC In the Matter of the Arbitration Between Name of Claimant^ Raymond M. Weinstein 95-00481 Name of Respondent(s) Southern Financial Group, Inc. * Brian C. Hutto Pamela A. Wooten REPRESENTATION For Claimant Raymond M. Weinstein: Steven Kapustin, Esq., of the law firm of Connell and Bland, Columbia, SC. For Respondents Southern Financial Group, Inc., Pamela A. Wooten an

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-3819 Jim Jennings, Claimant vs. DIP Securities, Inc., Kenneth c. Gaughran and David Flanzer, Respondents. ATTORNEYS: Claimant, Jim Jennings, ("Claimant"), appeared Pro Se., Brooklyn, NY. Respondents DIP Securities, Inc., David Flanzer, and Kenneth C. Gaughran (collectively "Respondents") appeared through their President David Flanzer, Hauppauge, NY. DATE FILED: September 01, 2000

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Allan and Patricia Solomon 95-00472 Montgomery Securities Robert P. White CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 30, 1995, Claimants Allan and Patricia Solomon ("Claimants"), through their representative, Jeffrey S. Salisbury, Esq., of Bowles & Verna, located in Walnu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ John E. and Vicky Vermeulen 95-00464 Name of Respondent^ Mark Simpson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 30, 1995, Claimants John E. Vermeulen, Sr. and Vicky Vermeulen, who appeared Pr Se, alleged that Respondent Mark Simpson sold them an investment which was not

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harry H. Eickemeyer 95-00462 Name of Respondent Kernper Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 30, 1995, Claimant Harry H. Eickemeyer ("Claimant"), who appeared Pro Se, alleged that Respondent Kemper Securities, Inc., ("Respondent"), through its repres

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gary R. Becklund 95-00453 Name of Respondents Hayne, Miller & Farm, Inc. Todd P. Anderson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 27, 1995, Claimant Gary R. Becklund, through his representative, James B. Fleming, Esq., of Monticello, MN., alleged that Respondents Ha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Terrell R. Holtzclaw Award 95-00452 Name of Respondents Biltmore Securities, Inc. Clifford J. Berman Arnold Roseman Richard Bronson Elliot Lowenstein CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 27, 1995, Claimant Terrell R. Holtzclaw, through his representat