NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Fred A Kuypers and 94-04225 Name of Respondent Hanover Sterling and Co., Ltd. Robert Fox REf RfigEWTATtglv 9f PARTIES Fred A Kuypers ("Claimant") was represented by Camille M. Miller, Esq., Potthast & Ring, Chics^o, Illinois. Hanover Sterling and Co., Ltd. ("Respondent Hanover") was represented by M. David Sayid, Esq.,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, EVC. In the Matter of the Arbitration Between Name of Claimant Norman F. Noakes 94-04220 Name of Respondents Douglas W. Klares The Harriman Group Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on October 11, 1994, Claimant Norman F. Noakes ("Claimant"), who appeared Pro Se, alleged that on February 17,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rashid J. Khan, (Claimant) vs. Lehman Brothers Inc. and Art Jordan Spar, (Respondent) Case Number: 01-04378 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Rashid J. Khan, hereinafter referred to as "Claimant", appeared pro se. Respondents, Lehman Brothers Inc. ("Lehman") and Ari Jordan Spar ("Spar"), hereinafter collectively referred to as "Respondents": Theodo

Award NASD Dispute Resoiution, Inc. In the Matter of the Arbitration Between Name of Claimant Charies H. Kehn Case No. 00-00675 Metrill Lynch, Pierce, Fenner & Smith, Inc. Richard A. Mills REPRESENTA'nON OF PARTIES For Charles H. Kelm, hereinafter referred to as "Claimant": Randall A. SmiUi, Esq. of Smith, Jones & Fawer, L.L.P., New Orleans, LA. For MerriU, Lynch* Pierce, Fenner Sc, Smith, Inc. ("MLPFS") and Richard A. MUls ("Mills"), he

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fincross Securities,Claimant vs. CIBC Oppenheimer & Co., Inc., LT Lawrence Co., Inc., and Todd E. Roberti, Respondents. Case Number: 98-03024 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Fincross Securities (hereinafter referred to as "Claimant"): Patrick Baldwin, Esq., The Law Offices of Patrick Baldwin, 530 Oak Grove Avenue, Menlo Park, CA 95025. R

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert H. Lundquist, Individually and as Tmstee of the Lundquist Family Tmst UAD 12/09/83, Claimants v. Miller & Schroeder Financial, Inc., Respondent ra.;eNiimher- 00-04006 Hearing Site: Los Angeles, California RFPWFSFNTATTON OF PAWTTFS For Claimants: Brad L. Milove, Esq. W. Richard Sintek, Esq. Miller, Milove 8c Kob San Diego, Califomia For Miller & Schro

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph D. Lyng, (Claimant) V. Bear Steams Securities, Corp., John Dawson & Associates, Inc., John Dawson, and Peter In Cho, (Respondents) Case Number: 98-03877 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Joseph D. Lyng ("Lyng"): Donald C. Shine, Esq. with offices located in Chicago, Illinois. Respondent Bear Steams Securities, Corp. (

NASD OISFITTE BSaOLtmON AWAID TWAsn niawiTB MiaciLtmaM. iwc. CASE: 9aM249 Deborah Dimaggio. CUtinunt vs. Peter Oinugglo, Reipondent. ATTORNEYS: Claimant, DeborahDhnaggio, ("Claimam"), nj^aied Pro Se., North Tonawanda. NY. Reapandeitt, Peter Dimaggio, ("ReBpondem"). did not zeipand to the Stabnem of Claim. DATE PILED: November 11.1998 CASE SUMMARY: Claimam aUeged diat Beipondem engaged in uoautiiorixBd aod exceiaive vading in her accoum. Ctaimam maim

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Estate of Irving Paparo, (Claimant) V!>. v ictorino Tavaras, Theodore Friedberg, and Gruntal & Co., L.L.C, (Respondents) Case Number: 98-03710 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, The Estate of Irving Paparo, hereinafter referred to as "Claimant": Kevin P. Conway, Esq., Conway & Conway, New York, NY. Respondents, Victorino Tavaras ("Tava

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kathleen Manzo (Claimant) v. Christine Hoover (Respondent) Case Number: 01 -04377 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Kathleen Manzo ("Manzo") hereinafter referred to as "Claimant": Matthew H. Maschler, Esq., Edison, NJ. Respondent Christine Hoover ("Hoover") hereinafter referred to as "Respon