N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James & Phyllis Dunleavy, Claimants, v. Case # 93-03696 David Lerner Associates and William Robbins, Respondents. For Claimants: John Kaley, Esq., from the law firm of Weinberg Kaley Gross & Pergament located in Garden City, NY For Respondents: Ruthann G. Niosi, Esq., a sole practitioner located in New York ,NY CASE INFORMATION Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Arthur J. DeBold and M. Dawn Watkins 93-03694 Name of Respondents) A.G. Edwards & Sons, Inc. Fahnestock & Co., Inc. J.B. Hanauer & Co., Inc. Christopher A. Westerfield For Claimants Arthur DeBold ("DeBold") and M. Dawn Watkins ("Watkins"): Michael R. Casey, Esq., Casey and Molchan, Fort Lauderdale, Florida. For Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SKCURTTTF.S DEALERS, INC. In the matter of the Arbitration Between Name of Claimants Sam and Mae Loguidice NASD Arbitration #93-03693 vs. N.mie of Respondents Robert Tretiak First Momauk Securities Corporation Seibt Financial Services, Inc. Hans Seibt Douglas W. Osborne Osborne, Stern & Co. REPRESENTATION For Claimants: Douglas B. Martin, Esq., San Francisco, California For Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marilyn Herlin 93-03623 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Rocio M. Gell CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 15,1993, Claimant Marilyn Herlin, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jacques & Diane Gaidry-Thelemaque 93-03620 Name of Respondent L.P. Charles & Goings, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 16, 1993, Claimants Jacques & Diane Gaidry-Thelemaque, who appeared Pro Se, alleged that Respondent L.P. Charles & Goings, Inc., through

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael A. Perlas 93-03613 Name of Respondents Paragon Capital Corporation Franklin D. Jolliff Michele D. Wessel CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 15, 1993, Claimant Michael Perlas, who appeared Pro Se, alleged that Respondent Franklin D. Jolliff, of the

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-02736 Access Financial Group, Inc., Claimant vs. Marc D. Ballard, Respondent. ATTORNEYS: For Claimant appeared Andrew S. May, Esq. of the firm Henderson & Lyman, Chicago, IL. Respondent did not respond to the Statement of Claim. DATE FILED: May 24, 2001 CASE SUMMARY: Claimant alleged that Respondent breached their contractual agreement and failed to repay the balanced owed on two p

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Allergy Medical Group Profit & Pension Plan FBO Dr. John T. Chiu, John T. Chiu, Trust NASD Arbitration No. 93-03612 N.ame of Respondent(s) Shearson Lehman Brothers, Inc. Steve Nassau REPRESENTATION For Claimant: Michael Huberman, Esq., Greenbaum & Ferentz, Newport Beach, California For Respondents: Step

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Susan M. Mahler, as custodian 93-03606 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith. Inc. CASE SUMMARY In a claim Hied with the National Association of Securities Dealers, Inc. on September 15, 1993, Claimant Susan M. Mahler, who appeared Pro Se, alleged that her broker at Respondent Merrill Lynch, Pierce, Fenner

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofCJairnartts Paul and Jeanne Palmisano 93-03598 Name of Respondents Prudential Securities Inc Donald Kelly REPRESENTATION * :•....'. ...• / ' ; - , - . . For Claimants Paul and Jeanne Palmisano ("Claimants"): John J. Blanchard, Attorney at Law in Atlantic City, New Jersey: ' For Respondents Prudentia