SEP.20.1998 10:l4Ptt NflSD REGULRTION FL NO.808 P.B N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute RttoluHon In the Matter of the Arbitration Between Names Renfie Lehman & Stephen Y. Collett 97-05706 Name Ameriaade, Inc. f/fc/a Ceres Securities, Inc. For Claimants: Stephen Y. Collett, Charleston, South Carolina, pro se. For Respondent: Patrick B. Griffin, Esq.. of the law firm Kutik Rock, Omaha, Nebraska, CASE INFORMATION Stateme

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ronald P. Byerly and 97-05705 Name of Respondent Kirkpatrick, Pettis, Smith, Polian, Inc. REPRESENTATION OF PARTIES Ronald P. Byerly ("Claimant") was representedby Elizabeth Lamb Kearney, Esq. and Brent Ruther, Esq., Law Offices of Elizabeth Lamb Kearney, Denver, Colorado. Kirkpatrick, Pettis, Smith, Polian, Inc. ("Respondent")

_*1/20/98_^RI 16:04 FAX NASD REGULATION < & 002 AWARD NASD Regulation, Inc. In the Matter of tKe Arbitration Between Name of Claimant Mercantile Investment Services, Inc. and No. 97-05699 Name of Respondents Gregory Bennett, Dean Witter Reynolds, Inc. consolidated with Name of Claimants Dean Witter Reynolds, Inc., Gregory S, Bennett, and Traci Van Buren and No. 97-05700 Name of Respondent Mercantile Inv

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05696 Henry J. Frank and Lee Ann Frank, claimants vs. Janney Montgomery Scott, Inc. and Drew Newman, respondents. ATTORNEYS: Claimants appeared Pro Se, Vineland, NJ. For Respondents appeared Thomas J. Hanrahan, Esq., Glen Rock, NJ. DATE FILED: December 5, 1997 CASE SUMMARY: Claimant alleged that respondents gave erroneous advice and were negligent in r

L « ' k PPR.14.1999 10:18AM AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names nf Claimants George H. Swart George H. Swart as successor in. interest to Henry H. Swart & Son, Inc, George H. Swart as trustee of the George H. Swart Family Trust 97-05692 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION For Claimants; Frederick C, Kramer, Esq, of the Law Offices of Frederick C. Kramer,

AWARD NASD REGULATION. INC, In the matter of the Arbitration Between Name of Claimant Ronald Make v. Arbitration No. 97-05691 Name of Respondents Sutro & Co., Incorporated, Michael Axelrod, and Gabriel Wisdom REPRESENTATION For Claimant: Robert Scott Dreher, Esq. Jeffery & Dreher, L.L.P. San Diego, California For Respondents Sutro & Co., Incorporated and Michael Axelrod: Michael J. Abbott, Esq. Matthew R. Miller, Esq.

NASD Regulation, Inc., Award In the Matter of Arbitration Between Walter C. Holloway, IV, Claimant, and No. 97-05683 Walton Johnson & Co., Respondent. REPRESENTATION OF PARTIES Claimant, Walter C. ("Dub") Holloway, IV ("Holloway") was represented by Fred Kolodey, Esq., of Dallas, Texas. Respondent, Walton Johnson & Company ("WJC") was represented by Beth Ann Blackwood, Esq., and Daniel Waller of Secore & Waller, L.L.P. located in Dallas, Tex

NASD Regulation, Inc., Award In the Matter of Arbitration Between Lee David Spivey, Claimant, and No. 97-05682 Prudential Insurance Company of America, Respondent. REPRESENTATION OF PARTIES Claimant, Lee David Spivey was represented by Philip E. Vannewkirk, Esquire of Cypress, Texas and by Grover G. Hankins, Esquire of Thurgood Marshall School of Law located in Houston, Texas until approximately June 11, 1998. Claimant, Lee David Spivey repr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02405 Wall Street Access, Claimant vs. Gregory A. Maslow, Respondent. ATTORNEYS: For Claimant appeared Joseph A. Mendola, Esq., Wall Street Access, New York, New York. Respondent did not respond to the Statement of Claim. DATE FILED: June 7, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to pay the debit balance created in his account from a June 1998 unsolicited trade.

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Melissa Binning and 97-05680 Name of Respondent ChatfieldDean&Co. Robert Bibb REPRESENTATION OF PARTIES Melissa Binning ("Claimant") was represented by Mel C. Orchard, III, Esq., Meyer & Williams, Jackson Hole, Wyoming. Chatfield Dean & Co. ("Respondent Chatfield") and Robert Bibb ("Respondent Bibb") (collectively as "Respondents") were represented by D