N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fay Sirkus as Personal Representative of the Estate of William Sirkus and Fay Sirkus Ind. 94-01311 Names of Respondents *> Advest, Inc. Michael A. Solomon For Claimant, Fay Sirkus ("Sirkus"): Gail F. Aird of Securities Arbitration Network Group, Inc., Pompano Beach, Florida and Eugene Garrett, Esq.. For Respondent, Adve

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas Murray 94-01303 Name of Respondent James Alan Saling CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 7, 1994, Claimant Thomas Murray, who appeared Pro Se, alleged that Respondent James Alan Saling sold his 600 stock options on January 24, 1994 without authorization. Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Oppenheimer & Co., Inc. 94-01301 Name of Respondent Scott Alan Ritcey CASK SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 6, 1994, Claimant, Oppenheimer & Co., Inc., through its representative and outside counsel, Joseph F. Keenan, Esq., of Bochat & Keenan, P.C., in Garden City, N.Y.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ronald A. Katz Case# vs. 94-01298 Name of Respondent Kidder, Peabody & Co., Incorporated vs. Name of Third-Party Respondent Steven Crowley REPRESENTATION For Claimant, Ronald A. Katz ("Katz"), David E. Shellenberger, Esq. of Law Offices of David Shellenberger. For Respondent, Kidder Peabody & Co., Inc. ("Kidder"

NASD REGULATION, INC, AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Prudential Securities Incorporated Case No. 84-01571 of Respondent Raul Larios P PRTIES For Claimant Prudential Securities Incorporated CPSl"): Mark S. Dobin, Esq. of the law firm of Boose Casey CiWin Lubftz Martens MeBane & O'Connell, West Palm Beach, Florida, For Respondent Christopher M. David, Esq. of the law firm of Hai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Daniel C. Thorn and Sharon Kay Thorn 94-01569 Name of Respondents and Third Party Claimants First Affiliated Securities; Jonathan E.S. Bekhor; Lisa Roth; Mark Dransfield Name of Third Party Respondents Rose Securities Corp.; Roger Peavey; Mitchell A. Witt REPRESENTATION For Claimants: Daniel C. Thorn and Sh

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Raymond and Jeanne Rothberg Names of Respondents Acument Securities, Inc. f/k/a Thomas F. White & Company, Inc., Mintz Asset Management, Inc. and Charles Lewis Bloom Case Number: 01-03023 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES Raymond and Jeanne Rothberg, hereinafter referred to as "Claimant": Russell C. Silverglate, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between «. Name of Claimants) Rod Rinker v. Name of Rqspondentfs) H.J. Meyers & Co., Inc. REPRESENTATION Claimant represented himself. Respondent: Robert A. Uhl, Esq., Los Angeles, California CASE INFORMATION Statement of Claim filed: April 22,1994 Claimant's Submission Agreement signed: April 1,1994 Statement of Answer filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David E. Harlan 94-01547 Name of Respondents Dean Witter Reynolds, Inc. Ken Horn CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1994, Claimant, David E. Harlan, who appeared Pro Se, alleged that Respondents, Dean Witter Reynolds, Inc. ("DWR") and Ken Horn ("Horn"), e

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marno of Carol L. (Irion) Neely 94-01544 o Rendents Prudential Securities, Inc. David R. Davis In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1994, Claimant Carol L. (Irion) Neely, who appeared pro se, alleged that Respondents Prudential Securities, Inc. ("PSI") and David R. Davis ("Davis"), misr