N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In ilu- M. liter .»r'the Arbitration Between Name "»f Ckiimantm Don A. Daley 95-00405 Name of Respondens) Jne C. McDonald & Company CASE SUMMARY In a claim tiled with the National Association of Securities Dealers. Inc. on January 25, 1995. .Claimant* Don A. Daley, who appeared Pro Se, alleged that Respondent McDonald & Co.,. Inc.. through its registered representative. Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert H. Tilden 95-00404 Name of Respondents Moshe Rimson M.Rimson & Co.,Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1995 Claimant Robert H. Tilden, ("Claimant") who appeared Pro Se, alleged that Respondents Moshe Rimson and M. Rimson & Co., ("Respondents"), o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Janet L. Paulsgrove 95-00403 Name of Respondent(s') Prudential Securities Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1995 Claimant Janet L. Paulsgrove, who appeared Pro Se, alleged that Respondent Prudential Securities Inc., through its investment advisor, Troy

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between A.G. Edwards & Sons, Inc., Claimant, and No. 95-00402 Milt LaPanta, Respondent, REPRESENTATION OF PARTIES Claimant A.G. Edwards & Sons, Inc. was represented by Norman S. Buckvar, Esquire, of A.G. Edwards & Sons, Inc., located in St. Louis, Missouri. Respondent Milt LaPanta was represented by Charles Clayton, Esquire, of Minneapolis, Minnesota.

NASD Arbitration No. 95-00399 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC, In the matter of the Arbitration Between Name of Claimant(s) Dorothy L. Frisbie Name of Respondent(s) Smith Barney Shearson, Inc. Lloyd E. Millegan Eldon J. Wicklund REPRESENTATION For Claimant: Larry H. Schons, Esq., Eugene, Oregon For Respondents: Sean Coughlin, Esq., Smith Barney Inc., New York, New York CASE INFORMATION State

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Amada Carmen Garcia and Asia Garcia Duarte 95-00398 Name of Respondent/Third Party Claimant Merrill Lynch Pierce Fenner & Smith Inc. Name of Third Party Respondent Juan Francisco Pena REPRESENTATION For Claimants, Amada Carmen Garcia ("Garcia"), Asia Garcia Duarte ("Duarte") and Third Party Respondent, Juan Francisco P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Melvin Schwartz Award No. vs. 95-00395 Name of Respondents Smith Barney Shearson, Inc. Gary Spector REPRESENTATION Claimant, Melvin Schwartz ("Claimant") appeared pro se. For Respondents, Smith Barney Shearson and Gary Spector, ("Respondents") Nicole L. Felton, Esq. New York City. CASE INFORMATION Statement of C

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Theresa Elmer and 95-00389 Name of Respondent Reynolds Kendrick Stratton, Inc. David Feyjin REPRESENTATION OF PARTIES Theresa Elmer ("Claimant") was represented by Gregory Friedman, Esq., Friedman & Holtz, Chicago, Illinois. Reynolds Kendrick Stratton, Inc. ("Respondent RKS") was represented by Jeffrey S. Kob, Esq., M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vincent Coughlin, (Claimant) vs. Cantor Fitzgerald Securities and eSpeed, Inc., (Respondents) Case Number: 00-03805 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Vincent Coughlin, hereinafter referred to as "Claimant": Norman Mednick, Esq., Law Offices of Leonard N. Flamm, New York, NY. Respondents Cantor Fitzgerald Securities ("Cantor") and eSpeed, Inc., ("eSp

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Jaya and Vasanta Yalamanchill 95-00388 Name of Respondent(s) Berkley Securities Corp. Darnell Deans REPRESENTATION For Claimants, Dr. Jaya and Vasanta Yalamanchili ("Claimants"), Ralph A. Gam, Esq. located in New York, N.Y. For Respondents, Berkeley Securities Corp. ("Berkeley") and Darnell Deans ("Deans"), collectively