N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS John L. Fiebelkorn, Claimant, V. No. 95-02626 Dean Witter Reynolds, Inc., Respondent, REPRESENTATION OF PARTIES Cla'imant John L. Fiebelkorn ("Claimant") was represented by Jerome S. Rice and Michael C. Mahoney of Mahoney & Rice located in Minneapolis, MN. Respondent Dean Witter Reynolds, Inc. C"Respondent") was represented by Scott E. Richter and G. Marc Whitehead of Popham, Ha

NASD Arbitration No. 95-02610 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Andrew Kotakis Name of Respondentfs) Kennedy, Cabot & Co. REPRESENTATION For Claimant: Blake Weston, Esq., San Francisco, California For Respondent: George H. Kupper, Esq., Kennedy, Cabot & Co., Beverly Hills, California CASE INFORMATION Statement of Claim filed: June 15, 1995

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Names of Respondents Glenn Michael Financial, Inc. Francine A. Lanaia Glenn M, Lanaia, and William E. Stanton, IV Case Number: 01-06359 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Russell Small ("Claimant") was represented by Gail E. Boliver, Esq., Boliver Law Firm, Marshalltown, Iowa. Glenn Michael Financial, Inc. ("GMFI"), Franci

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James T. Moore 95-02609 Names of Respondents Olde Discount Corporation Joseph John Cardiello REPRESENTATION For Claimant, James T. Moore ("Moore"): Franklyn J. Wollett, Esq. of Clearwater, Florida. For Respondents, Olde Discount Corporation ("Olde") and Joseph John Cardiello ("Cardiello"): Karen L. Brink, Esq. of Olde Discoun

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carolyn Doemer Hensley 95-02606 Shearson Lehman Hutton, Inc. Mark G. Knodel REPRESENTATION Carolyn Doemer Hensley ("Claimant") was represented by Jan Preece Garvin, Esq. of Consumer Arbitration Services located in Oklahoma City, OK. Shearson Lehman Hutton, Inc. and Mark G. Knodel ("Respondents") were represented by Jon Epstei

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Tom F. Walters 95-02597 Name of Respondents Berkeley Securities Corp. Republic New York Securities Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 30, 1995, Claimant Tom F. Walters ("Claimant"), who appeared Pro Se, alleged that Respondents Berkeley Securities Corp. ("Berk

NATIONAL ASSOCUTION OF SECURITIES DEALERS, INC. AWARD In the matter of the Arbitration Between Name of Claimantrs) James Pugh NASD Arbitration v. No. 95-02591 Name of Respondent's) Merrill Lynch, Fierce, Fenner & Smith, Inc. David Stewart REPRESENTATION For Claimant: James L. Sanders, Esq., Sheppard, MuUin, Richter & Hampton, Los Angeles, California For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc.; Peter Brown Dolan,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Andrew R. Volk 95-02578 William J. Koehler CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 30, 1995, Claimant Andrew R. Volk, who appeared Pro Se, alleged that Respondent William J. Koehler of Wisconsin Discount Securities Corp., failed to execute timely limit sales of 3 S&P 100 465 put

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Eve L. and Noble H. Hale 95-02564 Name of Respondents Edward D. Jones & Co. Jane Ellen Neuman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 26, 1995, Claimants Eve L. and Noble H. Hale ("Claimants"), who appeared Pro Se, alleged that Respondents Edward D. Jones & Co. ("Jones")

N.A.S.D. AWARD NATIONAT. ASSOCTATTON OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Binh K. Luu Name of Respondent Richard Nguyen REPRESKNTAXmN For Claimant: Bruce Safran, Esq. Tarzana, California For Respondent: Richard Nguyen, in Pro Per Fuilerton, California CASE INFORMATION Statement of Claim filed: September 29, 1995 Claimant's Submission Agreement signed: October 21, 1995 Statement o