N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stanley Celenski 94^160 Name of Respondent Northeast Brokerage Services Corporation CAff^ytfMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 7,1994, Gaimant Stanley Celenski ("Claimant") who appeared Pro Se, alleged that Respondem Northeast Brokerage Services Corporation ("Respondent")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants James Jennings and Laura Lee Jennings Names of the Respondents Morgan Stanley Dean Witter and Russell A. Williams Case Number: 01-04462 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James Jennings and Laura Lee Jennings, hereinafter collectively referred to

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Aibitration Between Paul Sizeland Claimant, No. 94-04159 Dean Witter Reynolds, Inc., Victor Moise, and James F. Mooney Respondents. REPRESENTATION OF PARTIES Cliumant Paul Sizeland ('Claimant") was represented by John P. Cione, Esq. of Solana Beach, California. Respondems Dean Witter Reynolds, Inc. ("Dean Witter"), Victor Moise ("Moise"), and James F. M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of die Arbitration Between Name of Claimant Jean Francois Rossignol 94-04156 Names nf Respondents Moigan Stanley & Co., Inc. Douglas Andrew Hart REPRESENTATION For Chumant, Jean Francois Rossignol "Rossignol": Michael W. Puisley of Aibitration Research Consultants, Safety Harbor, Florida. For Respondents, Morgan Stanley & Company, Inc. ("Morgan Stanley") and Douglas

N A.S.D. AWARD NATIONAL ASSOCL^TION OF SECURFTIES DEALERS In the Matter of the Arbitration Between Name of Claimant James A. Villanova 94-04154 Name of Respondents Scottsdale Securities.Inc. Don Devine REPRESENTATION For Claunant James A. Villanova ("Claimam") appeared Thomas Schuchert, Esq. of die law fiim of Schucheit Humphreys located in Pittsburgh, Pennsylvaiiia. For Respondem Scottsdale Securities, Inc. ("Scottsdale") and Don Devine

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEA. In the Matter of the Arbitration Between John L. Herzog & Leslie K. Herzog JTTEN 94-04146 Kemper Securities. Inc. Ctaig L. Carson CASg SUMMARY In a claim filed with the National Association of Securities Dealers, Inc., on October 6, 1994, Claimants John L. and Leslie K. Herzog, who appeared pro se, alleged that Re^xmdents Craig L. Carson ("Carson") and Kemper Securities, Inc. ("KSI") did

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wame of Claimant Iristine T. MacKall 94-04144 Name of Respondents International Money Management Group, Inc. Lartha G. Anistead Claimant Iristine T. MacKall ("Claimant") was represented by Andrew J. Lee, CPA, Forestville, MD Respondent International Honey Management Group, Inc. ("IMHG") was represented by James 6. Welsh, Esq., Timberlake Sm

N.A.S.D. AWARD NATIOHAL AS80CZATI0M OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith Inc 94-04140 Name of Respondents Alfred H. Velarde & Associates, P.C. (n/k/a A.H. Velarde & Associates, P.C.) Alfred H. Velarde, Esq. RBPRgBEMTATiaH For Claimant Merrill Lynch Pierce Fenner & Smith Inc. ("Claimant"): Richeurd J. Morvlllo, Esq. and Karen H. Johnston of the law firm of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Marsha Jane Lauria 94-04132 Name of Resnondentfs) Morgan Keegan & Company Inc Steven Testerman REPRESENTATION The Claimant's representative was Vincem R. Lauria, Esq. of Atianta, GA. For Respondents: David M. Minnick, Esq., in-house counsel at Morgan Keegan and Co., Inc. CASE INFORMATION Statement of Claim filed: Oct

94-04118 N.A.S.D. AWARD NA'nONAL ASSOCIAnON OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimantfs^ AnChien NameofResDondentfs) Greraway Capital Corp. The Claimant, An Chien ("Claunant"), geared Pro Se. For Respondent, Greenway Capital Corp. ("Respondent"), Ruthann G. Niosi, Esq., located in New York, N.Y. Statement of Claim filed: October 5, 1994 Qaimant's Submission Agreement signed on: October 3, 1994 Stat