NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03368 Leona Weiner, Claimant vs. Craig Oakes and Jeffrey Matthews Financial Group, LLC, Respondents. ATTORNEYS: Claimant Leona Weiner ("Claimant"), appeared Pro Se., New York, NY. For Respondents Craig Oakes and Jeffrey Matthews Financial Group, LLC, ("Respondents"), appeared Scott L. Fagin, Chief Compliance Officer, Millburn, NJ. DATE FILED: August 7, 2000 CASE SUMJ^ARY: Claim

Award NASD Regulation, Inc. in the Matter of the Arbitration Between: Eva R. Abers vs. Everen Securities, Inc., Carol Lee and David Walby. Case Number: 99-963 Hearing Site: Albuquerque, New Mexico REPRESENTATION OF PARTIES Claimant, Eva R. Abers ("Abers"), hereinafter referred to as "Claimant": Leonard J. Meyer, Esq., Zimmerman, Axelrad, Meyer, Stern & Wise, P.C., Houston, Texas. Respondents, Everen Securities, Inc., ("Everen"), Carol Lee ("Lee") and Da

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Mark A. Glass Case No. 99-00962 Names of Respondents Legg Mason Wood Walker, Inc. William H. Langeman REPRESENTATION OF PARTIES For Claimant Mark A. Glass, hereinafter referred to as "Claimant": Randall A. Smith, Esq. of the law firm of Smith, Jones & Fawer, L.L.P., New Orleans, Louisiana. For Respondents Legg Mason Wood Walker, Inc. ("Legg Mason") and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mohammad Hamzeh v. Bear Stearns Securities Corporation and James Gallaer r Case Number: 99-959 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, Mohammad Hamzeh ("Hamzeh"), hereinafter referred to as "Claimant": David M. Foster, Esq., Farmingfon Hills, Michigan. Respondent, Bear Stearns Securities Corporation, hereinafter referred to as "BSSC": Phi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steve A. Vivian v. OLDE Discount Corporation, Robert Thomas Armstrong, Jr. and Joseph Sheeran Case Number: 99-955 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Steve A. Vivian ("Vivian"), hereinafter referred to as "Claimant": Laurence S. Schultz, Esq., Driggers, Schultz & Herbst, Troy, Michigan. Respondents, OLDE Discount Corporation, n/k/a H&R Block

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Estate of Kenneth T. Ralph Case No. 99-00953 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION OF PARTIES For Claimant: Delmer C. Gowing, III, Esq. of Delmer C. Gowing, HI, P.A., Delray Beach, FL. For Respondent: Kevin T. Duffy, Esq., Vice President and Counsel, Office of General Counsel, Merrill Lynch Private Client Group, N

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant JW Genesis Securities, Inc. Case No. 99-00951 Name of Respondent Jeffrey Nuss a/k/a Jeffrey Banks REPRESENTATION OF PARTIES For Claimant JW Genesis Securities, Inc. ("JW Genesis"): Gregory Tendrich, Esq. of J.W. Genesis Securities, Inc., Boca Raton, Florida. , For Respondent Jeffrey Nuss a/k/a Jeffrey Banks ("Banks"): Russell L. Forkey, Esq., Fort Laude

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Linda Massaro a -' : Wo. 9SMX>950 Names of Respondents Aragon Financial Services, Inc, Lewis M. McConnell David L. Shelbrick REPRESENTATION OF PARTIES For Linda Massaro ("Massaro"), hereinafter also referred to as "Claimant": Jeffrey P. Coleman, Esq., Clearwater, Florida. For Aragon Financial Services, Inc. ("Aragon"), Lewis M. McConnell ("McC

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Kenneth R. Young Case No. 99-00947 Names of Respondents Pruco Securities Corporation The Prudential Insurance Company of America REPRESENTATION OF PARTIES For Kenneth R. Young, ("Young"), hereinafter referred to as "Claimant": Elihu Bennan, P. A., Clearwater, Florida. For Pruco Securities Corporation ("Pruco") and The Prudential Insurance Compan

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: James E. Askey and Doris Askey, (Claimants) vs. Dain Rauscher Inc., (Respondent). Case Number: 99-00945 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Claimants, James E. Askey ("Askey") and Doris Askey, hereinafter collectively referred to as "Claimants": C.W. Austin, Esq., Richmond, Virginia. Respondent, Dain Rauscher Inc., hereinafter referred to as "Respondent": S