N.A.S.D. AWARD .NATIONAL ASSOCUTION OF SECLTUTIES DEALERS In die Matter of die Arbitration Between Name of Claimants Glen and Ruth C. Van Lehn 95-02266 N^e of Respondent Beacon Securities, Inc. PA^E WMMARY In a claim filed with die Nationd Association of Securities Deders, Inc. on May 11, 1995, Qaimants Glen and Ruth C. Van Lehn ("CIdmants"), who appeared E*ro Se, dleged duit Respondent Beacon Securities, Inc. ("Respondent"), through its rep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of die Arbitration Between Name of Claimant Dr. Arnold S. Farber 95-02217 Name of Respondent Cohig & Associates, Inc. CASE SUMMARY In a cldm filed widi die Nationd Association of Securities Deders, Inc. on May 9, 1995, Qaimant Dr. Arnold S. Farber ("Qaunant"), dirough his representative and counsd, David Greiner, Esq., located in Houston, TX, dleged diat Respondem Cohig

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of the Aibitration Between Harry Sassower 95-02215 NrnieofRegpondents South Barney Shearson, Inc. Howard S. Innerfidd Don T. Troiano CASE SUMMARY In a daim filed with the Nationd Association of Securities Deders, Inc. on May 9, 1995, Qaimam Harry Sassower ("Qaimam"), duough his representative Jordan Schwartz, Esq., located m New Hyde Park, NY, dleged diat Respondents

NASD FINAL ORDER NATIONAL ASSOCIATION OF SECURITffiS DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Prudentid Securities, Inc. and NASD Case Number: 95-05356 Name of Respondent Jefirey D. Olbina REPRESENTATION OF PARTIES Claimant, Prudentid Securities, Inc. was represented by Wayne C. Turner, Esq. of McTuman & Turner, Indianapolis, Indiana. Respondent, Jefirey D. Olbina was represented by Roben J. Mandel, Esq. of Ned

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Nasrin Saberi and Names of Respondents Morgan Stanley Dean Witter, Inc. John Sacco Case Number: 01-04250 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Nasrin Saberi ("Claimant") was represented by Robert Bertsch, Esq., Bertsch & Associates, Port Washington, New York, until on or about September 17, 2002. Morgan Stanley D

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sacs & Co., Inc. 95-03386 Nam^ nf R^poudents PaineWebber, Inc. Tapp Pdmer In a cldm filed with the Nationd Assodation of Securities Deders, Inc. on July 14,1995, Qainumt, Saas & Co., Inci, throii^ its r^resentitive did Prd^ideht^ L^nard Sachs, located m Houston, TX, dleged tiiat Repoiidents, PdneWebber, Inc. ("PWI") and Tapp Pd

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of the Arbitration Between Name of Claimant Andrew B. Keesing 95-03330 Namy of Respondent Richard A. Preisig CASEStlMMARY In a daim filed with the Nationd Association of Securities Deders, Inc. on July 11, 1995, Qaunant Andrew B. Keesuig ("Qdmam"), who appeared Pro Se, dleged that Respondent Richard A. Preisig ("Respondent"), on July 12, 1994, strongly recommended that h

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name oV Claimant Schrage Posen 95-03294 Namyo^^^WP9"^fltt Brian A. Bond gASE SVMMARY In a cldm filed with the Nationd Association of Securities Deders, Inc. on July 7, 1995, Qahnam, Schrage Posen, who appeared Pro Se, dleged that Respondent, Brian A. Bond, executed unauthorized transactions in his accoum. Claunant forther dleged that on June 27

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dorodiy C. Deibel 95-03079 Name of Respondents Anne Joyce Schleier Compulife Investor Services, Inc. gASESVMMABY In a cidm filed with die Nationd Association of Securities Deders, Inic. on June 26, 1995, Qdnaant^ Dordthy C. Deilwl, who appeared Pro Sfe, dleged-that RiespbiAlezits, Compulife Investor Servicies. Inc. ("CIS")

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS fo the Matter of the Arbitration Between Name of Qaunant Hiomas G. Allen 95-03054 Name of Respondent Joseph Stevens & Company, L.P. CASE SUMMARY In a claim filed with the Nationd Association of Securities Deders, Inc. on June 23, 1995, Claunant Thomas G. Allen ("Qaunam"), who^pearedPro Se, dl^ed that a represoitative of Respontent Joseph Stevens & Company; L-P.-C'Respondem'^), recomnie