NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. TNC In the matter of the Arbitration Between Dean Witter Reynolds, Inc. and NASDR Arbitration No. 95-05190 Bmce Gunter REPRESENTATION For Claimant: Jeffrey J. Cole, Esq. Jackson, Tufts, Cole & Black, LLP San Francisco, Califomia For Respondent: Bmce Gunter San Francisco, Califomia CASE INFORMATION Statement of Claim filed: November 1, 1995 Claimant's Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTIES DEAI.ERS In the Matter of the Arbitration Between Name of Claimant Anton G. Neurohr 95-05187 Name of Respondenls Jarmey Montgomery Scott, Inc. David S.J. Smith CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 2, 1995, Claimant Anton G. Neurohr ("Claimant"), who appeared Pro Se, alleged that Respondent Jaimey Montgomery Scott, Inc. ("JMSI")

N.A.S.D. AWAM) NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claunant Paloma Golf Group V. NASD Arbitration No. 95-05171 Name of Respondents Rothschild Global Investments, Inc., Andrew Cmman, William H. Gerhauser, and William Jackob For Claimant: For Respondent: REPItESENTATION Michael A. Abee and Stanley D. Prowse, Esq. Paloma Golf Group, Inc. San Diego, California Willia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael D. Everett 95-05170 Name of Respondent Dorma Guinn CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 31, 1995, Claimant Michael D. Everett ("Claimant"), who appeared Pro Se, alleged that held an account with Merrill, Lynch, Pierce, Fenner & Smith, Inc., and that its represe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul P. Falcone 95-05169 Name of Respondents Smith Barney Shearson, Inc. Roger Jenkin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 31, 1995 Claimant Paul P. Falcone ("Claimant"), who appeared Pro Se, alleged that he held an account with Respondent Smith Bamey Shearson, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Demetrios Counes 95-05163 Name of Respondent Pacific Brokerage Services Inc. CASE SU^TMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 31, 1995, Claimant Demetrios Counes ("Claimant"), through his representative and counsel, Joseph Levin, Esq., of Gross Levin & Fazio, located in Elmhurst,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Keystone Investor Resource Center, Inc, 95-05149 Anthony G. Kehle A.G. Kehle & Company, Inc. REPRESENTATTON For Claimant: Richard A. Boucher, Esq. of the law firm of Formoso-Murias, P.A., Miami, Florida. For Respondents: Timothy W. Gaskill, Esq. of the law fum of DeSantis, Gaskill, Smith & Shenkman, P.A., North Palm Beach, Fl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUIUTTES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc 95-05147 Name of Respondent Marty Mayer CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 31, 1995, claimant Prudential Securities, Inc. ("PSI"), through it representative an counsel, Steven P. Gomberg, Esq., of the law firm Gomberg, Kane & Fisher, Ltd., a

In the Matter of the Arbitration Between: Names of Claimants Case Number: 01-06394 Larry Schmalz Robin Schmalz Names of Respondents Hearing Site: Little Rock, AR Gaines Berland, Inc. Ladenberg Thalman Financial Services, Inc. Ladenberg Thalman & Co., Inc. Ladenberg Capital Management, Inc. GBI Capital Partners, Inc. Anastasios Belesis REPRESENTATION OF PARTIES For Larry Schmalz and Robin Schmalz, hereinafter collectively referred to as "

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Beth Dolores Dunn 95-05142 Name of Resnondent Merrill, Lynch, Pierce, Fenner & Smith, Inc. Eldon Jack Seipert CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 31, 1995, Claimant Beth Dolores Dunn ("Claimant"), who appeared Pro Se, alleged that Respondent Merrill, Lynch Pierce,