N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James 0. Collins & Ann T. Collins 94-00923 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimants: James O. Collins and Ann T. Collins ("Collins") were represented by James O. Collins of Lubbock, Texas. For Respondent: Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") was re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Thomas D. and Betty J. Hanson, Individually and as Joint Tenants, Thomas D. Hanson IRA and Betty J. Hanson IRA Case No. 01-02979 Names of Respondents Sterne, Agee & Leach, Inc. Mark Mathisen Hearing Site: Little Rock, AR REPRESENTATION OF PARTIES For Claimants Thomas D. and Betty J. Hanson, Individually and as Joint Tenants, Thomas D. Hans

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David L. Lee 94-00918 Name of Respondents lovestacoip, Inc. CASE SUMMARY la a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1994, Claimant David L. Lee, who appeared Pro Se, alleged that Respondent Investacorp, Inc. terminated his employment for failing to notify Respondent he was engagi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD In the matter of the Arbitration Between Name of Claimant^} Julia P. Williams v. of Respondent^) Del Mar Securities Kevin Allen Michael S. Greene Ricci Donald Null NASD Arbitration No. 94-00914 For Claimant: For Respondent Null: REPRESENTATION Richard Sacks, Investors Recovery Service, Novato, California Thomas N. Cano, Esq. Woodland Hills, California

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between PREMABHAI PATEL, Claimant, v. NASD No. 94-908 SUPPES SECURITIES, Respondent. Representation For Claimant: Donald Roberts, Esq. of Roberts, Hill, Calligan, Bragg & Feeney, Eureka, California For Respondent: Robert Stumpf, Esq. of Bronson, Bronson & McKinnon, San Francisco, California Case Information Statement of Claim filed: February 23, 199

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Vincent Napoleon John Yates Tanya Stamm 94-00907 Baraett Securities Inc. REPRESENTATION For Claimants, Vincent Napoleon ("Napoleon"), John Yates ("Yates") and Tanya Stamm ("Stamm"): Curds Carlson, Esq. of Carlson & Bates, P.A., Miami, Fl. For Respondent, Barnett Securities, Inc. ("Barnett"): Peter W. Homer, Esq. of Homer

NASD Arbitration No. 94-00906 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Julia B. Dexter Name of Respondent(a) BA Investment Services, Inc. REPRESENTATION For Claimant: Joseph E. Sheridan, Esq., Long Beach, California For Respondent: Karen 0. Strauss, Esq., Payne & Fears, Irvine, California CASE INFORMATION Statement of Claim filed: March 8, 1994

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Artritartfoa Between Hilton O. Kann; Karm Repair Company, Inc. 94-00905 WJIM of Respondents Merrill Lynch, Pierce, Feaner & Smith, Inc.; REPRESENTATION' Par rfpJtfmntKr Hilton O. Kara ("Kinn") and Kann Repair Company, Inc. ("Kinn Repair*) wen iepreaented by Leonard J. Meyer, Esq. of Zimmerman, Flaum &. Axdrad. P.C.. located in Houston. Texas. For Respondents: Mart

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles T. Barlow, Jr. 94-00904 x Name of Respondent J.J.B. Hilliard, W.L. Lyons, Inc. REPRESENTATION For Claimant Charles T. Barlow, Jr.("Claimant"): Robert A. Klingler, Esq. of the law firm of Robert A. Klingler, Co., L.P.A., Cincinnati, Ohio For Respondent J.J.B. Hilliard, W.L. Lyons, Inc.("Respondent"): Janet P.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimantfs) Lincoln E. Beck v. NASD Arbitration No. 94-00899 Name nf Respondent^s) Kirsten Bird, Jim Schuster and Bank of America REPRESENTATION For Claimant Lincoln Beck: ProSe For Respondents Bank of America Investment Services, Bank of America National Trust and Savings and Loan, Kristen Bird, and James Schuster: R.