N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS © National Associatior Securities Dealer* In the Matter of the Arbitration Between . ^ Name of Claimant All Rights Reserved William F. Davies 95-05588 Name of Respondent Everen Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 28,1995, Claimant William F. Davies ("Claimanf), who appeared Pro Se, alleged that Respondent

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Thomas A. B artel and Kristin Bartel. Claimants, V j|4osephthal Lyon & Ross Inc., and Stephen A. Strong, Respondents. No. 95-05630 REPRESENTATION OF PARTIES Claimants Thomas A. Bartel and Kristin Bartel were represented by Robert D. Maher, Esquire of Best & Flanagan located in Minneapolis, Minnesota. Respondent Josephthal Lyon & Ross I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Aileen Siracusa 95-05642 Namp of Rp^nonHpnt^ ^ ^^^ational Association of Name ot Kesnonaents Securities Dealers, Inc Oppenheimer & Co., Inc. Karen B. Friedman ^^S^is Reserved CASE SUMMARY In a claim filed with the National Association of Securities Dealers, inc. on December 1, 1995, Claimant Aileen Siracusa ("Claimant"), thro

4 y tbe YtaStitss: of the Attdtasfclaa BetMOm of aaiamt(a) Isi'Badbs eoburltlflB Inc. 91-02439 iSmet c£ Saagpodaat ia) Yiodc Bar SaspoDdaitt &> Statamt oC GlaiA fUeds tagoat 7, 1591 ClMmat'a SdaBdaslm agzaeaaat aigped QOS Aily 3lj 1991 StBtsaaot of samtEK filed by BeBpondeot: MEBS £U«d. •s ainriBfrim igreonaDti MenB aufaolttfieL Baeff±ogi»td(p}/SeaBlaciCs}i JipBll 29, 1392 (i aaaalnU C^a^lW^^lt• oIlogiBei tbat iaaprpdent" Tee fac

P.Z/3 INDUSTRY N.A.S J). AWABD NATIONAL ASSOCIATION OF SBCUUIUS DXAUSRS In tfia Maaar of tfia AiWttta Bcnm WiUiam QuthMr MillMitfor vs. 91-02305 M*tH«^ ^iTiffniriant Dei "Mar Securitia, Inc. ID a claim filed with the Kidooal Assoeiaiion of Secuxities Dealers, Inc. oa My aO, 1991, Clainiant William Gaidner MiHeaiifar, who appealed Pro Se, alleged tbat Respondeat I>el Mar Securitiei, Inc. bzeacbad a contnet wbea it &iied to advanes him $2,000.00

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants 1 st Global, Inc. 1 st Global Capital Corporation Names of the Respondents Timothy G. Looney Glickstein, Laval, Cams, Levitt, Loomis & Dantuma, P.A. f/k/a Glickstein, Laval, Carris, P.A. Rodney Laval W. Neal Carris Mary Dantuma James Loomis Martin Glickstein Names of Third Party Respondents Stephen A. Batman

Arbittstfon 9 H^S.D. lilSSD wsaQSKu iGSDcnasjs CF TIKI Tits SBALBBS m tibe Ifiittec of tbe fttfaitraHcn South McixoQQd Seanrities, Hie. iteae of PonrK-^M^****- Nationat Association of SecuiiMS Deaiars, kic NASO Finanaal Center 33 WittehaK Street NewVQricN.Y.100(Vt FAX(2l2)85&^43a9 91-02291 Star dainant SaO-h Biehanne! Soairltles, Inc. CCLaisBnt-) s BsadCosd L. jiacabeMitz, of Qaarae Kaplan et al. Rxr S^xn3a2t OirLst

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Mark A. Spadoro 95-05649 Name of Respondents /^A.G. Edwards & Sons, Inc.; Daniel Wolfgram REPRESENTATION For Claimant: Mark A. Spadoro ("Spadoro") was represented by Kevin P. Conway, Esq. of Conway < S; Conway, located in New York, New York. For Respondents: A.G. Edwards & Sons, Inc. ("Edwards") and Daniel Wolfgram ("Wolfgram

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ^ Name of Claimant '^OilX 6^ L. Shearson Lehman Brothers, Inc. t)"^) and ^ 91-02225 Name of Respondent Brennan Ross Securities, Inc. REPRESENTATION OF PARTIES Claimant was represented by Thomas J. Overton, Esq. of Oveton & Feeley, Denver, Colorado. CASE INFORMATION The Statement of Claim was filed on or about July 22, 1991. Claim

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Gerhard and Monika Pohl Frank Pohl 95-05659 Name of Respondents Reich & Co., Inc. Christine Gertrude Hasslach REPRESENTATION For Claimants Gerhard and Monika Pohl ("Pohls") and Frank Pohl ("F.Pohl"), collectively referred to as "Claimants", appeared Philip R. Schatz, a sole practitioner located in New York, New York. For