NOTICE: An award was rendered in this case, but is not available.

Regior NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Ir the Matter of the Arbitration Between Claimants Roberts & Ryan Investments, Inc. Daniel W. Roberts VS . Hermann Securities, Inc. David Hermann David Burnell Respondent AWARD CASE NO. 89-00249 SUMMARY OF ISSUES This case was filed with the NASD on January 23, 1989. Claimants alleged that Respondent David Burnell intentionally breached' his employment contract by leav

NOTICE: An award was rendered in this case, but is not available.

NOTICE: An award was rendered in this case, but is not available.

JRN. 6.1999 IE:31PM NflSD REGULATION FL NO.770 P.19 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James O'Hara McGovern Case No. 98-00711 Names of Respondent^ Duncan-Williams, Inc. Donald Anthony Malmo . REPRESENTATION OF PARTIES Claimant James O'Hara McGovem appeared pro se. For Respondents Donald Anthony Malmo ("Malmo") and Duncan-Williams, Inc. ("DWI"): Stephen H

NOTICE: An award was rendered in this case, but is not available.

NOTICE: An award was rendered in this case, but is not available.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Patricia Bechthold, Trustee for Patricia Bechthold IRA Rollover Account, Claimant v. Drake Capital Securities, Inc. and Mark Gerlach, Respondents Case Number: 98-00705 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent Drake Capital Securities, Inc. For Respondent Mark Gerlach Morse Taylor, Esq. Taylor, Miller & Ames Santa

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Frederick A. Signore and Linda A.Signore, Elvira Signore, Kevin A. Signore and Virgil Signore 94-01093 94-01959 Name of Resuondents 94-02813 94-02828 Shearson Lehman Brothers, Inc. Andre Yoshua Weiser Kenneth Dorm Name of Third Partv Resuondent Cresenzo Signore REPRESENTATION Claimants Frederick A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John R. Meares Helen A. L^BDBS CONSOLIDATED AWARD 93-03281 c& 93-03264 Name of Respondents Wilshire Discount Securities Robert Scott Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 20, 1993, Claimant John R. Meares, who appeared Pro Se, alleged that Re