N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dale E. Terrell Revocable Living Tmst 94-05204 Prudential Securities, Inc. Steven Meyers George N. Hallad Claimant, Dale E. Terrell Revocable Living Trust was represented by Jack R. Durland, Jr., Esq. of Durland and Durland located in Oklahoma City, Oklahoma. Respondents, Ppjdential Securities, Inc., Steven Meyers and George N. Hallad were represent

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the .Matter of the Arbitration Between Name of Claimants Steven V. Crookes & Tracey E. Crookes 94-05198 Name of Respondents The Stamford Co.. Inc.; and Thomas E. .Maher REPRESENTATION OF PARTIES For Claimants: Steven V. Crookes and Tracey E. Crookes ("Crookes") were represented by Michael. D. Ferachi. Esq.. of Phelps Dunbar. L.L.P. located in Baton Rouge, Louisiana For Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of die Arbitration Between Name of Claunants Man Xia Lin and Shao Yi Li 94-05194 Olde Discoimt Corporation Frank N. Teodosio REPRESENTATION For Claimants, Man Xia Lin ("Lin") and Shao Yi Li ("Li"): Noel K. Evens, Esq. of Evans & Donica, P.A., Tampa, FL. For Respondents, Olde Discount Corporation ("Olde") and Frank Teodosio ("Teodosio"): David T. Doyle, Esq. of Olde D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of die Arbitration Between Name of Claimant Roger C. Anderson Revocable Trust 94-05191 Name of Respondent NationsSecurities REPRESENTATION For Claimant: The Claimant appeared pro se. For Respondent: Richard B. Warren, Esq. of die law fum of Keiley, Aldrich & Warren, P.A., West Palm Beach, Florida. CASE INFORMATION Statement of Claim filed: December 12, 1994.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Beatrice Tompros, (Claimant) v. Gilford Securities, Inc. and Ronald Stillman (Respondents) Case Number: 01-04278 Hearing Site: New York. New York REPRESENTATION OF PARTIES Claimant, Beatrice, Tompros, hereinafter referred to as "Claimant": Robert L. Schneps, Levy & Schneps;P.C.,Manhasset^New Ybrfc ' ' \ ' l , ' -. ••-.-••/•... >•' * - s > > • t i

NASD AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant David Bauer and 94-05188 Name of Respondent Ernest Ruotolo REPRESENTATION OF PARTIES David Bauer ("Qaimant") appeared pro se. Ernest P^uotolo ("Respondent") did noi appear at the hearing and represented himself The Statement of Claim was filed on or about December 12, 1994. Submission .Agreement of Claimant David Bauer wa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS 94-05187 In the Matt:er of the Arbitration Between Name of Claimant JEFFREY L. KEATON and CATHERINE M. KEATON Name of Respondent TAMERON INVESTMENTS, INC. CHARLES F. KIRBY, ANTHONY ELLIOTT JANOSKIE, THOMAS RUSSELL CURTIS and VADIM MOSTOVOY REPRESENTATION For Claimants, Jeffrey L. Keaton and Catherine M. Keatcn: Frank Pinedo, Esq., Sole Practitioner, located, in Houston, Te

NASD AWARD NATIONAL ASSOCIATION OF SECURITffiS DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Yuan-Jyh Andrew Lu and NASD Case Number: 94-05182 Name of Respondent Charles Schwab & Company, Inc. R£ERESENTATION OF PARTIES Claimant Yuan-Jyh Andrew Lu ("Claimant") was rcprescited by Charies M. Hamilton, Esq. and H. Dawson French, Esq. of French & Hamihon located in Dallas, Texas. Respondent Charies Schwab & Company, Inc.

N.A.S.D. AWARD NATIONAI. ASSOCIATION OF SECURITIES DEALERS In the Matter o£ the Arbitration Between Name of Claimant Michael Rampy 94-05179 Kame of Respondents PaineWebber, Inc. G. Nathan Clakley Michael Rampy ("Claimant") was represented by H. Dawson French, Law Offices of H. Dawson French, Dallas, Texas. PaineWebber, Inc. and G. Nathan Clakely ("Respondents") were represented by Joel Held and Stephen T. Johnson, Hill, Held, Metzger, Lo

N.A.S.D AW.\RD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the .Arbitration Between Name of Claimants .Alan R. and Kettrai W. Huggard 94-05177 Smith Barney Shearson, Inc. Glenn Pearsall CASE SU]>f MARY In a claim filed 'vith the National Association of Secu.rities Dealers, Inc. on January II, 1995, Claimants Alan R. Huggard and Kettrai W. Huggard, who appeared Pro Se, alleged that Respondents Smith Barney Shearson , Inc. ("Sm