N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frederic Rossy 93-02899 Name of Respondent Stratton Oakmont In a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1993, Claimant Frederic Rossy, by and through his counsel David G. Ironside, Esq. of Maliniak & Ironside, Montreal, Canada, alleged that on or about May 23, 1991 Claimant through Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Helen E. Aven & Jean Wilde 93-02898 Name of Respondent Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1993, Claimants Helen E. Aven & Jean Wilde, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., through its registered repres

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Previously Owned Mortgage Partnerships I 93-02886 Name of Respondent Raymond, James & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1993, Claimant Previously Owned Mortgage Partnerships Income Fund I, through its Representative, C.E. Patterson, alleged that

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of" the Arbitration Between Name of Claimant Joyce E. and Edward White Jt Ten 93-02878 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1993, Claimants Edward & Joyce White, who appeared Pro Se, alleged that Respondent Charles Schwab & Co., Inc. wrongfully boug

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between William W. Phelps, III Claimant MA OF* TWT,, CT 1QT7 1 1-rt.kJ*-* j.i\/. >-»~.i«G * i Kennedy , Cabot & Co., Rob Forker and Gruntal & Co, Respondents Representation For Claimant: William W. Phelps For Respondents: George Kupper, Esq. of Kennedy, Cabot & Co. Case Information Statement of Claim filed: July 26, 1993 Claimant's S

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Melanie H. Spiegel & Photocom Inc. and 93-02873 Name of Respondents Harris Securities, Inc. Donald Harris and Ronald Ardt Name of Third Party Respondent Seymour Bloom REPRESENTATION OF PARTIES Melanie H. Spiegel & Photocom Inc. ("Claimants 11 ) were represented by John D. Fraser, Esq. of Shields, Britton & Fraser

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Eleanor I. and Donald E. Jackson 93-02860 Name of Respondents') Peter Theodorellis REPRESENTATION For Claimant: The Claimants, Donald E. Jackson and Eleanor I. Jackson, appeared pro se. For Respondent: Diana Armenakis, Esq. of Armenakis & Armenakis, New York, NY. CASE INFORMATION Statement of Claim filed: July 20

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 93-02858 Name of Respondent Nobuyuki Mokkoh REPRESENTATION For Claimant Prudential Securities, Inc. ("Claimant"): Gilbert W. Boyce, Esq. with the law firm of Kutak Rock located in Washington, D.C.. For Respondent Nobuyuki Mokkoh ("Respondent"): John M. Townsend, Esq. with the law firm of Hughes H

N.A.S.D. AV/ARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jocelyn Mackay and B.L. Mclvor •and •••' 93-02853 Name of Respondents Reynolds Kendrick & Stratton, Inc. and Ruth Sutherland REPRESENTATION OF PARTIES Jocelyn Mackay and B.L. Mclvor ("Claimants") were represented by Jerome H. Ferguson, ffl, Esq. of Fefgirsbii-and Burns, Dallas, Texas. Reynolds-Kendrick & Stratton

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03717 Linda Rassel, Claimant vs. Thomas Repaskey and McDonald & Company Securities, Inc., Respondents. ATTORNEYS: For Claimant appeared Todd S. Selin, Esq., of the firm Scott & Associates, P.C., Lansing, MI. For Respondents appeared Ellen B. Young, Esq., of the firm Ulmer & Berne LLP, Cleveland, OH. DATE FILED: August 25, 2000. CASE SUMMARY: Claimant alleged that Respondents ma