Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dona}d Weiss v. Merrill Lynch, Pierce, Fenner & Smith Case Number: 01-02982 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: Donald Weiss In Pro Per Las Vegas, Nevada For Respondent: Daren A. Luma, Esq. Merrill Lynch New York, New York CASE INFORMATION Statement of Claim filed: June 4, 2001 Claimant's Uniform Submission Agreement signed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ..-.. . p Name of Claimant Gayle Kurk 94-00961 Name of Respondent Thomas DeLaHunt Claimant Gayle Kurk appeared pro se. Respondent Thomas DeLaHunt appeared pro se. CASE INFORMATION Claimant Gayle Kurk's Statement of Claim was filed on November 4, 1993. Claimant Gayle Kurk's Submission Agreement was signed on March 10, 1994. Respondent Th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants • Ben and Bettina Myers 94-00960 Name of Respondents The Ohio Company Richard Eastburn REPRESENTATION Claimants, Ben and Bettina Myers ("Claimants"), appeared pro se. For Respondents, The Ohio Company and Richard Eastburn ("Respondents"), appeared James A. Francis, Esq. from The Ohio Company, located in Columbus, Ohio.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS J In the Matter of the Arbitration Between Name of Claimant David I. Milner 94-00957 NaineofResDonjIgnl Hanifen, Imhoff Inc. CASE SUMMARY In a claim filed with the NASD, Inc. on March 11, 1994, Claimant David I. Milner, who appeared Pro Se, alleged that on March 11,1994, alleged that Respondent Hanifen, Imhoff, Inc. misplaced a portion of the funds in his IRA account. Claimant fur

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant PaineWebber, Inc. NASD Arbitration No. 94-00954 Name of Respondent George F. Hallaran REPRESENTATION For Claimant: Catherine Pratt, Esq., PaineWebber, Inc., Los Angeles, California For Respondent: George F. Hallaran, in pro per CASE INFORMATION Statement of Claim filed: March 11, 1994 Claimant's Submission Agr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James A. Schacher 94-00946 Name of Respondent Gnintal & Co., Inc. REPRESENTATION For Claimant: Stephen E. Tisman, Esq. of Shiff & Tisman, New York, New York. For Respondent: Donald N. Cohen, Esq. of Gruntal & Co., Inc., New York. New York. CASE INFORMATION Statement of Claim filed: March 10, 1994. Claimant's Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Lugene Roehrman, Ethel Zakroff, Susan Cohill, and Jack Greenberg, Claimants, v. No. 94-00944 Prudential Securities Incorporated, Respondent REPRESENTATION OF PARTIES Claimants Lugene Roehrman, Ethel Zakroff, Susan Cohill, and Jack Greenberg ("Claimants") were represented by Ronald N. Hanley, Esq., Scottsdale, Arizona. Susan Cohill did not participate as a party in the hearings

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jin Y. Chung 94-00930 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 11, 1994, Claimant Jin Y. Chung, who appeared Pro Se, alleged that Respondent Charles Schwab & Company, Inc. erred in executing a trade for her. Claimant furthe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James Sobotta and Thu Sobotta 94-00929 Nam Investex Securities Group, Inc.; Frank J. Somma RRPRRSlCNTATinN For Claimants: James Sobotta and Thu Sobotta ("Sobotta") were represented by David Hammer, Esq., located in Houston, Texas. For Respondents: Investex Securities Group, Inc. ("Investex") and Frank J. Somma ("Somma")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Katherine B. Wheeler, Claimant, v. No. 94-00927 B.C. Christopher Securities Company, MCW, Inc., f/k/a B.C. Christopher Securities Company ,and Fahnestock & Company, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Katherine B. Wheeler ("Claimant") was represented by John J. Miller, Esq. and Barry D. Estell, Esq., of Nygaard & Miller, Overland Park, Kansas. Respondents B.C. Ch