Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Supowitz Revocable Trust and David Supowitz IRA, Claimants v. Witter Inc. and John Welker, Respondents Case Number: 01-04326 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Michael A. Oswald, Esq. Oswald & Yap Irvine, California For Respondents: Todd E. Gordinier, Esq. Stradling Yocca Carlson & Rauth Newport Beach, California

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Abraham J. Friedman, Claimant Jeny Steinberger, and Smith Bamey, Inc., Respondents. No. 94-04810 REPRESENTATION OF PARTIES Abraham J. Friedman ("Claimant") was represented by Jon A. Titus, Esq., and David R. Jordan, Esq., of Titus, Brueckner & Berry, Scottsdale, Arizona. Jerry Steinberger ("Steinberger") and Smith Bamey, Inc. ("SBI") (col

NASD. AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Canadian-American Oil Co. 94-04806 Ni^me of Respondent Kemper Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 14, 1995, Claimant Canadian-American Oil Co., who appeared Pro Se, alleged that the broker assigned to their account by Respondent Kemper Securities, Inc

^^(CPIIIP N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the AibitratioD Between Name of Claimant Royaden F. Stark 94-0480S Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 14; 1994, Claimant Royaden F. Starfc, who appeared Pro Se, alleged tbat Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc., did not properly handl

N.A.S.D. AWARD .NATIONAL ASSOCL\TION OF SECURITIES DEALERS In the .Matter of the Arbitration Between Name of Claimant Thomas C. Stender 94-04804 N'jme i?t Respondents Prudential Securities, Inc. Kennedi Grauer Michael Penman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 14, 1994, Claimant Thomas C. Stender, who appeared Pro Se, alleged that Respondent Prudential Securities, Inc. (

N.A.S.D. AWARD MATIOMAL A880CIATI0M OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Parviz & Firoozhe Zafari Nanesh 94-04803 Name of Respondents Olde Discotint Corporation Thomas J. Curtis Pierce K. Hardman Murray Carter REPRE8EMTATIGM Claimants Parviz Manesh and Firoozhe Zafari Hanesh were represented by Parviz Manesh, Gaithersburg, MO Respondents Olde Discount Corporation ("Olde"), Thomas Curtis

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Frederick Hsgar and Jaync Esgar and 94-04800 Name of Respondent Prudential Securities Inc. ^rRESfii^T^T^QiM OF ?mjm Frederick Esgar and Jayne Esgar ("Claimants") were represented by Gary J. Ceriani, Esq. and Michael P. Cillo, Esq., Davis & Ceriani. P.C, Denver, Colorado. Prudential Seciuities Inc. ("Respondent") was represent

AMENDED N.A.S.D. AWARD NATIONAL ASSOCIAUON OF SECURITIES DEALERS REGULATION, INC. ' r In the Matter of tbe Arbitration Between Name of Qaimant Emily Leviae as Temporary Administratrix of Estate of Danid Gorsey Case No. 94^794 Menill Lynch Pietce Femur &. Smith. Inc. Pnidemial Securities, Inc. PaineWebber, Inc.. Michael Thomas Burdick Daniel Lawrence Burdick For Claimant: Patrick Begos, Esq. of Molton & Meeklns, New York, New York,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Hazel Howes and Althea Evans, Claimants, V. No. 94-04790 Merrill Lynch, Pierce Fenner & Smith, Inc. and John Kuehn, Respondents. REPRESENTATION OF PARTIES Claimants Hazel HoWes and Althea Evans were represented by Arthur C. Atonna. Esquire of Phoenix, Arizona. Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. and John Kuehn were represe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Ilaccer of the Arbitration Becweezi Name of Claimants Celia & Hubert Lee Loudermilk 94-04787 NaiHB nf ReBoondents Richard W. Wells, Jr. Cullum & Sandow Securities Inc. Thomas Timothy Cullimi First Southwest Conpany Richard Sandow REPRESENTATION The Claimants, Celia Loudermilk and Hubert Lee Loudermilk, ("the Loudermilks") , were represented by Jonathan A. Pace of Pa