N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard E. Albrecht 94-02126 Name of Respondents The Ohio Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 6, 1994, Claimant Richard E. Albrecht, who appeared Pro Se, alleged that he purchased 1000 Units of the Brunner Companies Income Properties L.P. #1 from Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Stephen G. Eisen 94-02125 Name of Respondent(s) Michael T. Shuttlesworth Johnny Garrison CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 7, 1994, Claimant Stephen G. Eisen ("Eisen"), who appeared Pro Se, alleged that Respondents gave him incorrect margin and commission infor

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Arthur O. & Mildred A. Bachman Gladys D. Bernard Phyllis G. Collins Brandt Family Trust Donna L. and John H. Gary Irwin Goldstein Pearl C. James Murray Kalisher Edmund & Maureen C. Lunder Alfred Mandell James R. & Alice M. O'Mara Shirley Schiffman Harry Whitmer 94-02123 Name of Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas M. Lippert v. Keith Lesser and Fahnestock & Co., Inc. Case Number: 01-03155 Hearing Site: Seattle,'Washington REPRESENTATION OF PARTIES For Claimant: Fredrick D. Huebner, Esq. Cable, Langenbach, Kinerk & Bauer, LLP Seattle, Washington For Respondents: Eric J. Shames, Esq. Fahnestock & Co. Inc. New York, New York CASE INFORMATION Statement of Claim filed: J

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Ronald C. Belcher and 94-02122 Name of Respondent A.R. Baron & Co., Inc. Gruntal & Co., Inc. Robert J. Gilbert REPRESENTATION OF PARTIfiff Ronald C. Belcher ('Claimant") was represented by Susan Bernhardt, Esq., Netzog & McKeever, P.C., Denver, Colorado. A.R. Baron & Co., Inc. ("Respondent A.R. Barotf) and Robert J. G

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Dennis W. Heatherly and Greg Newton and 94-02114 Name of Respondent Rodman & Renshaw. Inc. REPRESENTATION OF PARTIES Dennis W. Heatherly and Greg Newton (collectively as "Claimants") were represented by Peter S. Lubin, Esq., McConnell & Mendelson, Chicago, Illinois. Rodman & Renshaw, Inc. ("Respondent") was represented by Jo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Ginny Matthews NASD Arbitration No. 94-2113 Name of Resnondents Corporate Benefit Securities, Inc., Robert B. Coe, William Brad Stout, William Edward McClendon, Leonard Kahn, Russell Alan Smith, Jon Joseph Hanousek, Weldon A. Gibson, Steven L. Peeler, and Jonathan Peter Bobolia. REPRESENTATION For Claimant: William F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Marianne Birkholz vs. NASD Arbitration No. 94-02109 Name of Respondent PFS Investments Edwin Edebiri Rusty Crossiand and Related Actions REPRESENTATION For Claimant: David M. Greenberg, Esq., San Francisco, California For Respondents PFS Investments and Rusty Crossiand: Samuel A. Keesal, Jr., Esq. and Lisa

N.A.S.D. AWARD RATIONAL ASSOCIATION OF SECURITIES PEA! F.RS. INC1 In the matter of the Arbitration Between Frances E. Meyer, Trustee, Floyd 8C Fiances Meyer Family Trust B NASD Arbitration v. No. 94-02108 Name of Respori(fcnr(j) Gene Morgan Gene Morgan Financial For Claimant: Rory R. Wicks, Esq., San Diego, California For Respondents: Robert E. Birne, Esq., Olsoo Gibbons Sartain Nicoud Birne & Sussman, L.L.P., Dallas, Texas C

AWARD NASD REGULATION. INC. In the Matter of the Arbitration Between Name of Claimant Sargis Khoobiar Case No. vs. 94-02106 Name of Respondents Gruntal & Co.. Inc. Michael Herman REPRESENTATION' For Claimant. Sargis Khoobiar ("Claimant"), Morton Minsiey, Esq.. located in New York. New York. For Respondent. Gruntal & Co.. Inc. ("Gruntal"), Harry Frisch. Esq. in-house counsel at Gruntal located in New York. New York. For Respondent