NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00385 Laura E. Gabon, Claimant vs. Shirley Adams, Jeannette Werkmeister and Advest, Inc. Respondents. ATTORNEYS: Claimant, Laura E. Cabon, ("Claimant"), appeared Pro Se, Elizabeth, PA. For respondents appeared Thomas P. Byrne, Esq., Hartford, CT. DATE FILED: January 31, 2000 CASE SUMMARY: Claimant alleged that she sent Respondents a check in the amount of $2,500.00 as an initia

~ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants vs. NASD Name of Resondents REPRESENTATION For Claimant: T, = , For Respondents: to CASE INFORMATION / // -i/ Statement of Claim filed: -^UUto- &', Claimant's Submission Agreement signed: c/; '" t '^ < -> Statement of Answer filed by Respondents on: \f.ffle,-wvw 3, n 7-5 U' Respondents'

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hale P. Saph IH Trust, Hale P. Saph m 93-02844 Name of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson Patrick D. Malzone CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 21, 1993, Claimant Hale P. Saph m, who represented himself, alleged that Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Philippe Dambia Case #: 93-02841 Name of Respondent Citicorp Investment Services CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 21, 1993, Claimant Philippe Dambia, who appeared Pro Se, alleged that on June 25, an agent of Respondent Citicorp Investment Services sold, without his auth

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas E. White 93-02836 Name of Respondents Olde Discount Corporation Guy Gage CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 20, 1993, Claimant Thomas E. White, who appeared Pro Se, alleged that he contacted Respondent Guy Gage of Respondent Olde Discount Corp. about Divide

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between DONALD B. BEARD and CELESTE D. BEARD Claimants v. NASD No. 93-2817 KENNEDY, CABOT & CO., DAVID P. KANE and GENE L. ROACH Respondents Representation For Claimant: Donald Beard, Highland, CA For Respondents Kennedy, Cabot & Co. and David P. Kane: George Kupper, Esq. of Kennedy, Cabot & Co., Beverly Hills, CA For Respondent Gene L. Roach: Gene L. R

t N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jack Utsick 93-02810 Name of Respondents Bruce Barber Barber & Bronson Inc. REPRESENTATION For Claimant, Jack Utsick ("Utsick"): Russell L. Forkey, Esq. of Deerfield, Florida. For Respondents, Bruce Barber ("Barber"), Barber & Bronson Inc. ("B & B"): Eric P. Liftman, Esq. of Berley & Littman, P.A., Miami, Florida.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Henry W. Reed and Elizabeth Wadsworth Q3-02809 Name of Respondents Prudential Securities, Inc. Alex Socolof REPRESENTATION For Claimants Henry W. Reed and Elizabeth Wadsworth ("Claimants"): The Claimants appeared pro se. For Respondents Pnidential Securities, Inc. ("Prudential") and Alex Socolof ("Socolof"): Gerard J.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mutter of the Arbitration Beiv-een Name of Claimant Gary J. Zeran 93-02808 Name of Respondent Olde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 20, 1993, Claimant Gary J. Zeran. who appeared Pro Se, alleged that Respondent Olde Discount Corporation failed to execute an order to sell 7 Ford Call Options at t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS PaineWebber Incorporated, Claimant/Counterrespondent, v. No. 93-02800 Fred H. Larrabee, III, Respondent/Counterelaimant REPRESENTATION OF PARTIES Edward Degenhardt, Esq., Litigation Counsel, PaineWebber Incorporated, Weehawken, New Jersey, represented PaineWebber Incorporated ("Claimant"). Fred H. Larrabee, III ("Respondent") appeared on his own behalf. CASE INFORMATION Claima