N.A.S.D. NATIONAL ASSOCIATION OP SECURITIES DEALERS In" the Matter of the Arbitration Between Jane T/yirvtfl Sims, TTEB Claimant NASD # 91-01621 Prudential Bacha Securities, Inc. A. Fabian Garcea Respondents For Claimant; Patricia C. Sadler, Esq. For Respondent: Philip McLeod, Esq. - Keesal, Young & Logan Statement of daia filed: May 24, 1391 Claimant's Submission Agreement signed cot Maty 10, 1591 Joint Statement of Ammer filed by R

HJLS.D. AWMtD NWICNAL ASSOdWICN OP SBCORITIES DEALERS In the Matter of the Arbitration Kane of Obarlea K. & Diana A. Nix 91-01248 Raymond, James ft Associates, lac.,- sM Oerwin Lanalr Vandergnff Poar CLalinantst Jbba B. Ebearly, Esq. of Chattanooga, Par Reepcndeati Raynaod James & Associates, Zoo. Paul L. Itotacki, Esq. of Raymond Janes & Associates, me., St. Pstarsburg, Florida. The Statement of Claim \mm filed on April 22, 1991. daiioa

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between G. BALASUBRAMANI and LALITHA BALASUBRAMANI. JTWROS. Claimants, v. NASD No. 93-2674 MERRILL LYNCH PIERCE FENNER & SMITH. JOHN KUTASI. JOHN PCCCHONG and BURT ROSEN. Respondents. Representation For Claimant: G. Balasubramani For Respondent: Michael Olney, Esq., of Merrill Lynch Pierce Fenner & Smith. New York. N. Y. Case Information Sta

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between JOHN B. NOLL, . ' i Claimant, v. NASD No. 93-2597 KIDDER PEABODY & CO., aka KIDDER PEABODY GROUP, G. BARCLAY PERRY and WILLIAM PHELPS, Respondents. Representation For Claimant: Michael Mitchell, Esq. of Los Angeles, CA . For Respondent: Richard Kelly, Esq., of Kidder Peabody & Co., Inc., New York, N.Y. Case Information Statement of Claim fil

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between SANDRA MONTANO Claimant, v. NASD No. 93-2529 TERRY ENGLISH, IDS FINANCIAL SERVICES, INC., IDS LIFE INSURANCE COMPANY, and DOES 1-10, Inclusive. Respondents Representation For Claimant: David Lerman, Esq., Stephen Danz, Law Offices of Stephen Danz, San Francisco, CA • For Respondents: Darren Draves, Esq. and Henry Lederman, Esq. of Littler. Mende

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03494 Everen Securities, Inc. claimant vs. Jack D. Wilson, respondent. ATTORNEYS: For Claimant Everen Securities, Inc. ("Claimant"), Nichele A. Moore, Esq., Everen Securities, Inc. Legal Department, Chicago, IL Respondent, Jack D. Wilson ("Respondent"), appeared Pro Se., Tulsa, OK, DATE FILED: July 30, 1999 CASE SUMMARY: Claimant alleged that Respondent br

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond, James & Associates, Inc., Claimant v. William T. Peyer, Respondent Case No.: 00-01121 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Raymond, James & Associates, Inc. Deborah J. Howard, Esq. ("Claimant") Vice President Associate Corporate Counsel Raymond James & Associates, Inc. St. Petersburg, Florida William T. Peyer appeared pro se ("Res

N.A.S.D. AWARD NATIONAL. ASSOCIATION QF 5ECURTJI5S DEALERS, INC. In the matter of the Arbitration Between e nf Claimant (s) Robert C. Aronoff NASD Arbitration No. 93-02490 ?Jarr.g cf Respondent is) Merrill Lynch, Pierce, Fenner & Smith, Inc. Karen Rosen REPRESENTATION For Claimant: Robert C. Aronoff, Hermosa Beach, California For Respondents: Payne L. Templeton, Esq., Orrick, Herrington & Sutcliffe, Los Angeles, California CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS . TWC. In the matter of the Arbitration Between o David Barris and Marilyn T. Barris Trust, The Barris Revocable Family Trust, and Karen Twersky NASD Arbitration No. 93-02465 Name of Respondent (a } Shearsoii Lehxan Crcthars, Inc. Alan H. Minter RBPRgggMTATION For Claimants: Ronald S. Schy, Esq. , Beigel Schy Chatfield & White, Los Angeles, California For Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven A. Signaigo 93-02416 William Kuehl; Charlotte S. Cohen & Company, Inc. REPRESENTATION For Claimant: Steven A. Signaigo ("Signaigo") was represented by Timothy N. Vujnich, Esq. of Danis & Boyce, located in Clayton, Missouri. For Respondents: William Kuehl ("Kuehl") and Charlotte S. Cohen & Company, Inc. ("Cohen & Comp