N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elizabeth H. Hudson 94-03316 Name of Respondents Raymond, James & Associates, Inc. Mark G. HcGreevy REPRESENTATION Claimant Elizabeth H. Hudson ("Clainiant") was represented by John H. Newcomer, Jr., Esq., Bayard, Handelman & Murdoch, Wilmington, DE. Respondents Raymond, James & Associates ("Raymond James") and Mark

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between PaineWebber, Inc., Claimant, NASD No. 94-3310 Richard D. Wassail, II and Alyce B. Wassail, Respondents. Representation For Claimant: Mark Frisbie, Esq., Walnut Creek, California For Respondents: James Ramsaur, Esq. of Chapuis & Ramsaur, Oakland, California Case Information Statement of Claim filed: August 9, 1994 Claimant's Submission Agreem

N.A.S.D. AWARD NATIONAL ASSOCTATTON OF SECURITTK.'^ DEALERS. INC. In the matter of the Arbitration Between Name gf Claimants Dr. Everard Call NASD Arbitration No. 94^3309 Name of Respondents Shamrock Partners, Limited, AmfirinarionaJ Financial Service.^, Inc. Dmitry Levitsky, a.k.a. James Levit REPRESENTATION For Claimants: Michael P. Wippler, Esq., Haima And Morton - Los Angeles California For Respondents: No Appearance by Respondents

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05203 Sarah Hicks, Claimant vs. Jeff Dragon and Salomon Smith Barney, Inc., Respondents. ATTORNEYS: Claimant, Sarah Hicks, ("Claimant"), appeared pro se, Quincy, MA. Respondents, Jeff Dragon and Salomon Smith Barney, Inc. (collectively "Respondents"), appeared through their in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: October 3, 2001 CASE SUMMARY: Claimant alleged t

N.A.S.D. AWARD NATIONAL ASSOCIA-nON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George E. Ridge 94-03308 D.H. Blair & Co., Inc. Steven Carmello Staltaie CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 18, 1994, Claimant George E. Ridge ("Ridge"), through his rq)resentative, Richard J. Lantinberg, Esq., located in Jacksonville, FL, alleged that Respondents S

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Robert M. Rhodes and Sheila Rhodes, Claimants, V. No. 94-03307 Rocky Mountain Securities and Investments, Inc. and Francis Neal Holland, Respondents. REPRESENTATION OF PARTIES Claimants Robert M. Rhodes and Sheila Rhodes were represented by John J. Nicgorski of Mohr, Hackett, Pederson, Blakley, P.C. located in Phoenix, Arizona. Respondents R

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants John and Joann Gonzalez 94-03303 Name of Respondent Kidder, Peabody & Co., Incorporated REPRESENTATION Claimants John and Joann Gonzalez ("Claimants") were represented by Kevin Conway, Esq., Conway & Conway, New York, NY. Respondent Kidder, Peabody & Co., Inc. ("Respondent") was represented by Brian F. Mc

N.A.S.D. AWARD MATZOMAZ. ASSOCIATION OF SBCURZTIBS DBALBRS In the Hatter of the Arbitration Between 2(aji|ej2^JslAii!!SS£S Ollle L. & Shirley E. Stakes 94-03302 I{a]gg__2£JBSS£S&SSfi£5 Stratton Oakmont Inc. Paul F. Byrne REPBgBBMTATIIMI Claimants Ollle L. and Shirley E. Stukes (hereinafter referred to aa "ClalmantB") appeared at the hearing Pro Se. Respondante Stratton Oakmont, Inc. (hereinafter referred to as "Stratton Oakmont") and

AWARD NASD REGULATION. INC.. OFPICE OF DISPUTTT RRSOLUTION In the matter of the Arbitration Between Namf nfC^laimanr Prudential Securities Inc. .^WARD #94-03288 vs. NamrnfRin?nndfnr. Alan Y. Yoshioka REPRESENTATION For Claimant: Charles E. McKay, Esq., Garcia Rosenberg & McKay, Honolulu, Hawaii For Respondent: .\lan Y. Yoshioka, Makawao, Hawaii CASF. INFORMATION Statement of Claim filed: Augu.« 16,1994 Claimant's Submission A

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mark Osadchuck, and Vera Osadchuck, Claimants No. 94-03286 James Donovan, Connie Berman, Richard Husebo, and Marche Securities, Inc., Respondents. REPRESENTATION OF PARTIES Claimants Mark Osadchuck, and Vera Osadchuck ("Claimants") were represented by John W. Barnes, Esq., San Francisco, California. Respondent James Donovan ("