N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tlit Matter of the Arbitration Between Xante or Claimant Bradford Tiffany 94-00362 Name of Respondents Dean Witter Reynolds Inc. Michael Figler REPRESENTATION For Claimant: Charles J. Engel. Esq., Syracuse, New York. For Respondents: Edward W. Larkin. Esq. of Dean Witter Reynolds. Inc.. located in New York. New York. ' " CASE INFORMATION Statement of Claim filed: Januar

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between David Ariss, Claimant, v. NASD No. 94-359 Robert Thomas Securities, Inc., Raymond James and Associates, Inc., Anas Taraji, Flora Brody, individually and as Administrator of the Estate of Heywood Brody, Deceased, Respondents. Representation For Claimant: Lawrence Phillips, Esq. of Bizar & Martin, New York, New York For Respondent Robert Thomas Se

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stephen R. and Susan M. Berger and 94-00358 A.G. Edwards & Sons, Inc. and James Laughlin REPRESENTATION QF PARTIES Claimants, Stephen R. and Susan M. Berger, were represented by Stuart R. Berkowitz, Esq. of Platke & Berkowitz, St. Louis, MO. Respondents, A.G. Edwards & Sons, Inc. and James Laughlin, were represented by M. Jane Matoesian, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John A. Miller 94-00353 Name of Respondent Thomas James Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1994, Claimant John A. Miller, who appeared Pro Se, alleged that Respondent Thomas James Associates, Inc. made misrepresentations and unauthorized transa

08/12/02 10:49 FAX 312 236 9239 OFFICE OF DISPUTE RES i]002 ' -. . 312 236 9339 AWARD NASD Dispute Resolution, Inc, In the Matter of the Arbitration Between Name of Claimant Kirkpatrick, Pettis, Smith Polim, Inc. and 01-02919 Denver, Colorado Robert Nevarez A Kirkpatrick, Pettis, Smith. Polian, Inc. ("ClaimaBt") was represented by James M Bausch, Esq, and Tracy A. Oldemeyer, Esq. of Ciine, Williams, Wright, Johnson & Oldfather, L.L.P. lo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Tedmund L. Gean Siew Hong Lim NASD Arbitration No. 94-00344 Name of Respondent(s) Charles Schwab & Co., Inc. Randall Kirk REPRESENTATION For Claimants: Tedmund L. Gean, Los Angeles, California For "Respondents! --Thomas R. Freeman, Esq., Bird, Marella, Boxer, Wolpert & Matz, Los Angeles, California CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between *, Name of Claimants Robert V. and Marian Dorian 94-00135 Name of Respondents J.B. Hanauer & Co. Jeffrey Bukantz REPRESENTATION For Claimants Robert V. Dorian and Marian Dorian ("The Dorians"): William Ponsoldt, Esq. of Kohl Metzger Spotts, P.A., Stuart, Florida. For Respondents J.B. Hanauer ("Hanauer") and Jeffrey Bukantz ("Buk

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Beverly Mitchell, Trustee, on behalf of the Lebowitz Family Trust and Beverly Mitchell, Trustee, on behalf of the NW/RC Charitable Remainder Trust 94-00134 Names of Respondents Bear, Stearns & Company, Inc. and Billy Solomon REPRESENTATION Claimant, Beverly Mitchell, as trustee on behalf of the Lebowitz Family Trust and t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard R. Storer 94-00128 Njme of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney, Inc. Shane Mathe Charles Phelps Charles I. Smith CASE SUMMARY In a claim riled with the National Association of Securities Dealers, Inc. on January 6, 1994, Claimant Richard Storer, who appeared Fro Se, alleged that Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Gale C. Long, Claimant, v. No. 94-00126 John Rosenow, and Rauscher Pierce Refsnes, Inc. Respondents REPRESENTATION OF PARTIES Claimant Gale C. Long ("Claimant") was represented by Sharyl L. Poulson, Esq., Scottsdale, Arizona. Respondents John Rosenow and Rauscher Pierce Refsnes, Inc. ("Respondents") were represented by Joel P. Hpxie, Esq., and Christopher J. .Littlefield, Esq.