In the Matter of the Arbitration Between STEWART A. WINN, RICHARD A. SASO, NASD Case No. 95-00720 . Claimant, and Respondent Both parties appeared Pro Se. The Statement of Claim was filed on February 6, 1995. Claimant's Submission Agreement was signed February 2, 1995. Respondent's Answer was filed April 4, 1995. Respondent's Submission Agreement was signed Nfarch 30,1995, Preliminary Motion Claimant attempted to file an amended claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the .'.'atU;r of the Arbitration Between Gary R. McCali 95-01234 Name of Respondents Southwest Securities, Inc. Steven G. Cohtmia Carey Thomas & Associates,Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1995 Claimant Gary R. McCall ("Claimant"), who appeared Pro Se, alleged that he held account # 54276912 with Respondents

N.A.S.D. AWARD X. .TIONAL AFSOClA nON OF SECLTUTIES DEALERS In the Mauer of che Arbitration Between Name of Claimantfs) Steve Blonde 95-00454 Name of Respondentfs) Corporate Securities Group, Inc. Vincent Chiera Andrea Joyce Wagner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 27, 1995 Claimant Steve Blonde, who appeared Pro Se, alleged that Respondents Corporate Securities Group Inc., V

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Henry A. Cooper Case No. 00-02231 Names of Respondents Hearing Site: Tampa, Florida Janney Montgomery Scott LLC Walter Alan Tye REPRESENTATION OF PARTIES For Henry A. Cooper, hereinafter referred to as "Claimant": Neal J. Blaher, Esq., Orlando, FL. For Janney Montgomery Scott LLC ("IMS") and Walter Alan Tye ("Tye"), hereinafter collectively refe

N.A.S.D. AWAWn NATIONAL ASSOCIATION OF SECTmTTTFS DEAT.F.R.S TISTP In the matter of the Arbitration Between Name of Claimant Barry Weiner Name of Respondent Smith Bamey, Inc. FKA Shearson, Lehman Brothers, Inc. REPRESENTATION For Claimant: Michael A. Bertz, Esq. Los Angeles, Califomia For Respondent: Victor Machinski, Esq. Smith Bamey, Inc. New York, New York CASE TNFnilMATTn]V( Statement of Claim filed: June 20, 1995 Claimant'

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Allen Geissler and Kenneth Geissler NASD Arbitration No. 95-02746 Namg of Rgspondents Linsco/Private Ledger Corporation Francis "Lynn" Sanem REPRESENTATION OF PARTIES Allen Geissler and Kenneth Geissler ("Claiinant") was represented by J. David Penwell, Esq., Bozeman, Montana. Linsco/Private Ledger Corp. ("Respondent")

I: 1 • I ! 1 - ) . i ! i ( 1 i I • : -I j i N.A.S.D. AWARD KitlONAL ASSOCIATION OF SECUKITIES DEALERS I ) "irf the Matter of the Arbitiation Between William Clark Nermm Kologlu • Vri"!'* ?^ R^ridentfsl J.; Paul Jason Jason MacKenzie Securities Corporation 93-017|39 pTrPpyj^^ATlOyj ijor Claimants: Marie I. Astarita, Esq. of Giisrae, Kzpl^ & Brunf). New, York, N.Y. • ' tor Resoondents: James

Fndn MASD.IMC. iBtiteMlMieraftlMAii •2.ai.i99« leise OF ssoMtxm muajma miad IK. »t dHimiimMtliinM 3. ISiiMcWCMtfacMB 4. I«i0aiabv2a, JMldl< MlA9iitl2,|9H t! I 04 ^2 RSSS RSI fROn NRSD.tMC. •a.at.tm tatna p. t ftfimtaMBtftyikw V* MVOMMOIU lNR|By mpmUL ftp /5/ IMML mAfaBt»fmamlk\ * •

10 N.A.S.D. AWAKD NATIOJ«|AL ASSOCIATION OF SBCURTTIES DEALERS bx tbe Ms ttet of tbe Acbitration Between Alex and Irene Pecrinitz 93-03955 Dean Wit er ReynoldA. Inc.;' A.G. Edvardj & Sons, Inc.; Edward E. Hemndez For aaimuas: Alex and Irene Petrmiiz ("Petrmitz") were represented by D. Michael Kratchroan, Esq. of St 'Uihfield, Michigan. For Respondents: Dean Witter Reynolds, Inc. ("Dean Winer") was represented by Michelle Bryan On schakoff.

ftiOn MASD. IHC. } % 66.01.im 13«8S P. 8 ^ N.A.S.D. A^ARD ^" iWier Of (he Aikialloa Between Jail ^Roieahaiim, tsTnutoeof theLanv^ft^ Case No. 93-04967 For For SlfcS.'SS'.A**""" ^1^1. Merrill and PrtedePs, Statement of Ai^wer lespectivefy filed M^ 'l7 «HI May i ^^m'^^ ''^''''' Florida, hearings bsth* «vea PMH NflSD. IHC. 06.91.1999 13< 86 PaA p. 3 I^ Awatd No. 93.04967 CASB«HMMA»Y Ciai Stat