N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward M. Haney Case# vs. 94-00343 Name of Respondents Advest, Inc. Robert D. Meyer REPRESENTATION For Claimant, Edward M. Haney ("Claimant"), John S. Izzie, Esq., located in Columbus, Ohio. For Respondents, Advestr Inc. ("Advest") and Robert D. Meyer ("Meyer") (Collectively "Respondents"), William C. Freitag, Esq., in-

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carol A. Cummings Award No. vs. 94-00342 Name of Respondents Kidder, Peabody & Co., Incorporated Robert!. Gulla Mark McAndrew REPRESENTATION For Claimant: Carol A. Cummings, pro se. For Respondents: Richard Kelly, Esq., in-house counsel with Kidder, Peabody & Co., Incorporated, located in New York, New York. CAS

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant S.D. Conn & Company, Inc. 94-00338 Name of Respondent Hugo August Perotti For Claimant S.D. Cohn & Company, Inc.: Robert B. McKay, Esq. for the law firm Carney & McKay, Garden City, NY. For Respondent Hugo August Perotti: Joseph B. LaRocca, Esq., Stamford, CT. CASE INFORMATION Statement of Claim filed: January 25, 1994 Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ot" the Arbitration Between Name of Claimant Lew Lieberbaum & Co., Inc. 94-00332 Name of Respondents Joselito George Villanueva De Castro Edward John Baiter Muriel J. Barter REPRESENTATION For Claimant Lew Lieberbaum & Co.. Inc. ("Lieberbaum"): Jay Marc Israel, Esq. of Lew Lieberbaum & Co., Inc. located in Garden City, New York. For Respondent Joselito George Vil

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Zisis Alevras, Christos Alevras et al. Case No. vs. 94-00327 Name of Respondents Chatfield Dean & Co., Inc. Lawrence Greenberg For Claimants. Zisis Alevras, Christos Alevras, et al. ("Claimants"), Frank J. Liberty, Esq. from the firm of Greenberg, Parenteau & Geraghty, P.C., located in New London, Connecticut. For Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS • Nme of C*i T^TOiinfr Sharon I ekes 94-00325 w»»t» of Respondents Foster Jeffries Co., Inc. and William Walters REPRESENTATION OF PARTIES For Claimant, Sharon Ickes { "lakes") at the hearing: Thomas P. Ward, Esq. of McBride Baker & Coles, Chicago, Illinois and Deborah L. Mahoney, Esq. of Mahoney & Burke, Chicago, Illinois. For Respondents Foster Jeffries Co. ("Foster Jeffries") a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Glenn Berlin and Martin Berlin 94-00317 Name of Respondents Robert Todd Financial Corp. Robert Bobak Fallah Peter Laurence Cohen Franco Peter Dortona Todd Mitchell Spehler For Claimants Glenn and Martin Berlin ("Claimants") appeared Lawrence J. Bochat, Esq., of the law firm of Bochat & Keenan, P.C., located in Garden C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02938 H & R Block Financial Advisors, Inc., claimant vs. Chad L. Hughes and Gregory L. Droster, respondents. ATTORNEYS: For Claimant appeared Kurt M. Miller, Esq., in-house counsel, Detroit, MI. Respondents did not submit a response to the Statement of Claim. DATE FILED: June 4, 2001 CASE SUMMARY: Claimant alleged that respondents failed to repay the debit balance created in the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiman^ Gilston Electrical Contracting Corp. vs. 94-00315 Name of Respondents Americorp Securities, Inc. Jamie Lanz Claimant Gilston Electrical Contracting Corporation ("Gilston") was represented by Eva H. Posman, Esq., New York City, New York. Respondent Americorp Securities, Inc. ("Americorp 11 ) was represented by William M.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elizabeth Danziger 94-00276 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1994, Claimant Elizabeth Danziger, who appeared Pro Se, alleged that Respondent, Merrill Lynch, Pierce, Fenner and Smith, Inc. ("MLPFS") fr