N.A.S.D. AWARD NKTICNRL ASS&lfflD ;CH OP SECURITIES In the Matter of the Arbitration Between } Paul Bsrorstron Arbitration National AaaedatJon of Sacuritta Dacltft. inc. Of* East Browart Boulevard Suite 1000 Ft. Lauoerdale. Rorida 33301 (305) 522-7391 Mb. 92-00381 Herrill Lynch, Pierce Fever b Staith mo ) Stephen Ooger } For Claiioant, Paul Broratren ("Brorstram") t ppo 99. Pear KoapondKita, Hezrill Lynch, Pierce, F*m

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants R. Steve Crowder Cobra Oil Company Little River Energy Company 92-00377 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimants at the hearing: Gretchen Z. Kennedy, Esq. of Day Hewett & Federman. Oklahoma City, Oklahoma. For Respondent at the hearing: John Bevilacqua, Esq. of Shearson Lehman Brot

NATIONAL ASSOCIATION OF SECURITIES DEALERS, IXC. CASE #$2-00373 AWARD In che Matter of the Arbitration Between William A. Sharplin, Sr. Claimant vs. Kennedy, Cabot & Co. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1992, Claimant William A. Sharplin, Sr., who appeared Pro Se, alleged that in August 1987 he rolled over a tax sheltered annuity into an IRA account with

NATIONAL ASSOCIATION OF SBCDRTTIBS DEALERS, INC. In che Matter of the Arbitration Between Scott & Tina Karlebach Claimants CASE #92-00372 AKAED VB. Josephchal, Lyon & Ross, Inc. Respondent CASE STMCUtY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1992, Claimants Scott &. Tina Karlebach who appeared Pro Se, alleged that on November 19, 1991 they each acquired 175 shares of Beazer PLC-ADR's

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00371 AWARD In the Macter of Che Arbitration Between Otis B. Miller, as trustee Claimant vg . Quick & Reilly, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1992, Claimant Otis B. Miller who appeared Pro Se, alleged that on December 20, 1991, before leaving on a trip to Tucson, Arizona, he r

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-03060 Olde Discount Corporation, claimant vs. Karlan Jackson & Sherina Jackson, respondents. ATTORNEYS: For Claimant, Olde Discount Corporation, ("Claimant"), appeared in-house-counsel Aaron L. Kleid, Esq., Detroit, ML Respondents, Karlan & Sherina Jackson (Collectively "Respondents"), did not respond to the Statement of Claim. DATE FILED: July 6, 1999 CASE SUMMARY: Claimant al

N.A.S.D. AWARD NATIONAL ASSOCZATICN OF baLUKi'i'H&> DEALERS"' In the Matter of the Arbitration Between Arbitration National Association of Securities Dealers, inc. NASD Financial Center 33 Whitehall Street NewYork. N.Y.I 0004 FAX (212) 858-4389 92-00365 Sal Brothers TM claimant For Respondent Gottlieb et al. ("Claimant") : he appeared pro se. Brothers IDC. ("Salonon") s Lindy Johnson, of dejazy, Statement of Clnlm

N.A.S.D. AWARD NKTICNRL ASSOdXndJ GP SSCOSTTISS DEALERS In tba Matter of the Arbitration. of George Clark Lambert NASD Arbitration No. 92-00354 Wllshire Discount Securities Gtrtta Roach Phil Fistori Poor dadasnt: In fto Se For Raspcndent: In Pro Se Statement of Claim fileds January 30, 1992 Claimant's Submission Agreement gignffd ons February 12, 1992 Statement of flnummr filed by Respondents ons Hay 1, 1992 Respondent, Pbil

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between NamesofCJaiinants Ernest J. Dean P. Allan Heim Paul W. Aichele David J. Walker James E. and Tonia L.B. Carriger Mortgage Connection, Inc. Graham M. Archer 92-00345 NamesofResDondents Princeton Financial Group, Inc. Jerry Frederick Shorthouse Anthony Joseph Pontieri Curt Russell REPRESENTATION For Claimants Er

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00342 AWARD In the Matter of the Arbitration Between Pamela A. Zimmerman Claimant vs. Murphy Favre, Inc. William Newkirk Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 30, 1992, Claimant Pamela A. Zimmerman, through her counsel, Charles Ray Byrd, Esq., of Centralia, WA, alleged that Respondents Murp