N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barnett Securities, Inc. Case No. 94-02084 Name of Respondents PaineWebber, Inc. Thad Kopec Pat Hill Patrick Cress For Claimant, Barnett Securities, Inc. ("Barnett"): Peter W. Homer, Esq. of Greer, Homer & Bonner, P. A. Miami, Florida and C. Daniel Rice of Mahoney Adams & Criser, P. A., Jacksonville, Florida, •

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hamilton Investments, Inc. 94-02083 Name of Respondent Ronald D. Ree Claimant, Hamilton Investments, Inc. was represented by Michael A. Kraft, Esq. of Gomberg Kane & Fischer, Ltd., Chicago, Illinois. . .Respondent, Ronald D. Ree appeared pro se. CASE INFORMATION The Statement of Claim was filed with the National Association

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Larry McCourry and Sharon McCourry 94-02078 Name of Respondent Robert R. O'Braitis REPRESENTATION Claimants Larry McCourry and Sharon McCourry ("Claimants") were represented by Richard Mayberry, Esq., Washington, D.C. Respondent Robert R. O'Braitis ("Respondent") was represented by Michael Q. Carey,

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Name of Claimant Rita E. "Winsick Name of Respondents Alain S. Corcos Royal Alliance Associates, Inc. NASD Arbitration No. 94-02071 REPRESENTATION For Claimants: Thomas Fehn, Esq. - Fields, Fehn & Sherwin - Los Angeles, California For Respondents: Robert A. Latham, III, Esq. - Wilson, Elser, Moskowitz, Edelman & Dicker - Los Angeles, California

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Jeffrey J. Heet, Claimant, and 94-02068 John Hancock Broker Distribution Services, Inc., Respondent. REPRESENTATION QF PARTIES Jeffrey J. Heet ("Claimant") was represented by Thomas A. Connolly, P.C.. and Mario G. Silva, Esq., Cervantes and Associates, St. Louis. Missouri. John Hancock Broker Distribution Services, Inc. ("Respondent") was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Shienkun J. Chen & Fangyun Lu Chen 94-02059 Name of Respondents Randle Villa Trent Gribben First American Biltmore Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 2, 1994, -Claimants Shienkun L Chen and Fangyun Lu Chen, who appeared Pro Se, stated that on May

Award NASD Dispute Resolution., Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., (Claimant) vs. A.G. Edwards & Sons, Inc. and Raymond E. Cloutier, Jr., (Respondents) Case Number: 01-03147 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Charles Schwab & Co., Inc., hereinafter referred to as "Claimant": David P. Eby, Esq., Devine, Millimet & Branch, Manchester, NH. Respondents, A.G. Edwards & Sons, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sam Axelrod 94-02058 Name of Respondent Robert Todd Financial Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1994, Claimant Sam Axelrod, who appeared Pro Se, alleged that Respondent Robert Todd Financial Corp-, iailed to execute a transaction for him. Claimant further al

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John J. Nicolich vs. 94-02057 Name of Respondent Oppenheimer & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 1, 1994, Claimant John Nicolich, who appeared Pro Se, alleged that Respondent Oppenheimer & Co., Inc. improperly charged him commissions. Claimant further alleg

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kenneth Seligson 94-02056 Name of Respondents J.W. Builard & Co., Inc. James W. Builard, Jr. .-. REPRESENTATION Claimant Kenneth Seligson ("Claimant") appeared at the hearing pro se. Respondent J. W. Bui lard & Co., Inc. was not represented at the hearing and Respondent James W. Bullard, Jr. (collectively "Respo