NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between NamgpfClaimwit Anthony Kokes and 94-05227 Name of Respondent Dean Witter Reynolds, Inc. Nicholas Daleiden REPRESENTATION OF PARTIES Anthony Kokes ("Claimant") was represented by James J. Eccleston, Esq., Uscian &. Eccieston, Chicago, Illinois. Dean Witter Reynolds, Inc. ("Respo»ident Dean Witter") and Nicholas Daleiden ("Respondent Da

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Issa B. Eghniem, Claimant, , r V. NASD No. Prudential Insurance Company, Danny Amodeo, Charies Dolnick and Does 1 through 50, inclusive. Respondents. Representation For Claimant: Issa Eghniem, pro se, Torrence, Califomia For Respondents: John LeCrone, Esq. of Manatt, Phelps & Phillips, Los Angeles, Califomia Case Information Statement of Claim f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC In the matter of the Arbitration Between Name of Claimants Robert F. Perler, D.D.S.. Individually and as Custodian for Evan Perler and Craig Perler; Sue Wager; Dr. William Wager, Individually and as Custodian for April Wager and Sarah Wager and as Trustee of the William D. Wager, D.D.S. Profit Sharing Plan; Dr. John Kay; Ralph Del Brunner, D.D.S.; Lennie Uyemori; WiUiam G. Anspach, D.D.S.; John

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-04279 First Union Securities Financial Network, Inc. Claimant vs. Douglas Alan Lynch, Respondent. ATTORNEYS: Claimant, First Union Securities Financial Network, Inc. ("Claimant"), appeared through its in- house counsel, Gregory S. Tendrich, Esq., Boca Raton, FL. Respondent, Douglas Alan Lynch, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: August 14, 2001 CA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Pauline E. Nelson 94-05223 Daniel A. Czapla Brian N. Scudday CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 12, 1994. Claimant Pauline E. Nelson, who appeared Pro Ss, alleged that Respondents Daniel A. Czapla and Brian N. Scudday, office manager recommended unsuitable investm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant^sl Philip and Julie Bay JTWROS 94-05221 Name of Respondentfs) Stratton Oakmont Inc. CASE SUMMARY In a claim filed with the National .Association of Securities Dealers, Inc. on December 12, 1994, Claimants, Philip and Julie Bay, who appeared pro se, alleged that they purchased lOOO units of Soioman Page Group LTD Units (SOLPU) f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant Judy Ann Silver 94-05220 Name of Respondent Daniel John Demeyer In a claim filed with the National Association of Securities Dealers, Inc. on December 12, 1994, Claimant Judy Ann Silver, who appeared Pro Se, alleged that Respondent Daniel John De Meyer, purchased and sold securities in her account without authoiizatica and purchase

N.A.S.D. AWARD maicaait Asstxuaiaa OF SBCDKZTIBS DB&LBBS In the Matter of the Arbitration Between Ng2g__2£_i£iSfLSS2B£ John M. Koopman 94-05218 Smith Barney Shearson/ Inc. Michael L. Slden In a claim filed with tha National Association of Sacurlties Dealers/ Inc. on December 12, 1994, Claimant John M. Kcopmon^ ti^ho appeared Pro Se, alleged that Respondents !3iBith Bar9.«y Shearson, Inc. and Michael L. Slden, recommended the purchase of

N.A.S.D. AWARD NATIONAL ASSOrTATTOW OF SECTTRTTTES DEALEPS. INC. In the matter of the Arbitration Between Wame nf rlaimanf-S Martin Logan and Koren Logan, Trustees for the Logan Inter Vivos Trust NASD Arbitration No. 94-05214 Name Q£ Respondents John G. Kinnard & Company, Inc. Milton Baimes Scott Grady For Claimants: David S. Mai'kun, Esq., Zeile &. Larson, San Francisco, Califomia For Respondents John G. Kinnard & Compan

N.A.S.D. RFiGUl.ATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In tlie Matter of the Arbitration Between Name of Claimants Elizabeth and Francis Columbo Name of Respi)ndejits Joseptha! Lyon & Ross Inc. The Stamford Company, Inc. 94-05207 .RFPRESENTjXXlON. Claimants lilizabeth and Franci.s Columbo ("Claimants") were represented by Thomas P. Hinchey. New York, NY. Respondent Joseptha! Lyon &. Ross, Inc. C'JLR") was