N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joanne S. Matson 95-00102 Name of Respondents Smith Barney Shearson, Inc. Joseph D. Holsinger REPRESENTATION For Claimant: Hugh N. Smith, Esq. of the law firm of Smith & Fuller, P. A., Tampa, Florida. For Respondents: Christopher B. Q' Malley, Esq., in-house counsel at Smith Barney, Inc. CASE INFORMATION Statement of Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between \arnp of Claimant Richard M. Scott Case Number 95-00097 Name of Alex Brown & Sons, Inc. Marc Thomas Taylor For Claimant Richard M. Scott ("Claimant") appeared Mary Ann Stokes, Esq., Conn, Lifland, Pearlman, Herrmann &. Knopf, Saddle Brook, New Jersey. For Respondents Alex Brown & & Sons, Inc. ("Alex Brown") and Marc Thomas Taylor ("Taylor")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dr. William B. and Nancy P. Shannon 95-00096 Name of Respondents Prudential Securities Inc Richard R. Jarman REPRESENTATION For Cla imants Dr. Wi11iam B. Shannon and Nancy P. Shannon ("Claimants"): J. Michael Mulvaney, Esq., of the law firm of James, McElroy & Diehl, Charlotte, NC For Respondents Prudential Securities

08/14/01 THC 13:18 FAX NASD REGULATION Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas Kintonis, (Claimant) v. Raymond James & Associates, Inc., and Gerard Phillips (Respondents) PaperCase : 00-03771 RFPRFSENT\TION OF PARTIES Claimant Thomas Kintonis ("Kintonis"): Leslie A. Blau, Esq., Blau & Bonavich, Chicago, Illinois. Respondent Gerard Phillips ("Phillips") and Raymond James & Associates, Inc. ("Ra

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Chris McClelland, Claimant, v. No. 95-00091 Stratton Oakmont, Inc., Jordan R. Belfort, Daniel M. Porush, Kenneth S. Greene, Edward Michael Azrilyan, John Squieri, Tim Hills, and David Beall, Respondents. REPRESENTATION OF PARTIES Claimant was represented by John J. Miller, Esq., Overland Park, Kansas. On August 8, 1996, Claimant filed no

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between : Roger W. Arvold and Maxine E, Arvold, Claimants, v. No. 95-00090 Piper Jaffray, Inc., Respondent. REPRESENTATION OF PARTIES Claimants Roger W. Arvold and Maxine E. Arvold were represented by Kevin D. Hoffman, Esq. of Jacobson Harwood Brill & Bennet, P. A. located in Minneapolis, MN. Respondent Piper Jaffray, Inc. was represented by Lawrenc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant*"s) H. Harold Hart 95-00085 Name of Respondents) Merrill Lynch Pierce Fenner & Smith Inc David Middleton Charles Hoffman Pam Shine Barry Doering REPRESENTATION Claimant, H. Harold Hart ("Hart") was pro se. For Respondents Merrill Lych Pierce Fenner and Smith, Inc. ("Merrill"), David Middleton ("Middleton"), Char

FINAL ORDER NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between James H. Schreiber, Patricia B. Schreiber, Craig Franzen, Robert C. James, Robert H. Liebl and Helen J. Liebl, Claimants, and No. 95-00080 H. Beck, Inc. Respondent. REPRESENTATION OF PARTIES Claimants James H. Schreiber, Patricia B. Schreiber, Craig Franzen, Robert C. James, Robert H. Liebl and Helen J. Liebl (collectively referred to as "

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Domenic Stimma 95-00079 Name of Respondents Amerinational Financial Services,Inc. Peter A. Provence REPRESENTATION For Claimant, Domenic Stimma ("Claimant"), Gerald E. Marcus, Esq. located in Hamden, CT. For Respondents, Amerinational Financial Services, Inc. ("Amerinational") and Peter A. Provence ("Provence"), collectivel

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rochelle Flink Michael Flink Robert Flink 95-00074 Name of Respondent Doug Getzke REPRESENTATION Claimant appeared pro se. For Respondent: Edwin A. Zipf, Esq. from the law firm of Bressler Amery & Ross, Morristown, NJ CASE INFORMATION Statement of Claim filed: January 5, 1995 Claimant, Rochelle Flink's Submissi