N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donna Marie Fischer vs. Name of Respondents Channel Securities, Inc. Howe Barnes Investments, Inc. Paul A. Laude Karl M. Sealey Wayne A. Feldman John Franklin Nappy Case# 93-03145 REPRESENTATION For Claimant, Donna Marie Fischer ("Claimant"), Joseph Keenan, Esq. of Bochat & Keenan, P.C., located in Garde

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant The Albert Hitz Revocable Trust, Albeit Hitz, Trustee 93-03135-AWARD Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Jules L. Merron For Claimant, The Albert Hitz Revocable Trust, Albeit Hitz, Trustee ("Hitz"): Robert W. Pearce, Esq. of Lemer & Pearce, Fort Lauderdate, Florida. For Respondents, Merril

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Robert E. Laffan, . • .- . -.:.. 93-03131 Name of the Respondent Gulf stream Financial Associates, A Kemper Financial Company For the Claimant Robert E. Laffan ("Claiirant") : Wiliam Laffan, Jr., Esq. .: ' : ..: - ', :.:.-- .- ' For the Respondent Gulfstream Financial Associates ("Respondent") : Ronald Schindler, Esq.- of Fowler, Wh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jennie R. Jeffries 93-03128 Name of Respondents Schneider Securities, Inc. John Yakimczyk • v . . - • - , ••."•-•- CASE SUMMARY ; In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1993, Claimant Jennie R. Jeffries, who appeared Pro Se, alleged that Respondent John Y

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald R. Schoene 93-03127 Name of Respondent Hibbard Brown & Co.. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1993, Claimant Donald R. Schoene. who appeared Pro Se, alleged that Respondent Hibbard Brown & Co., Inc., through its Account Executive, Tim Bouman. used h

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gyurme Sonam and Sumita Manandhar, JTTEN, Claimant v. J.B. Oxford & Company and George C Doyle, Respondents Case Number: 01-02657 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES Gyurme Sonam and Sumita Manandhar, JTTEN, appeared pro se. At the evidentiary hearing, Gyurme Sonam appeared pro se and on behalf of Sumita Manandhar. For J.B. Oxford & Company ("J.B. Oxford

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rose Hedrick 93-03125 Name of Respondents Dean Witter Reynolds. Inc. Robert Berry CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1993, Claimant Rose Hedrick, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., through its registered representative,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Thomas W. & Vema M. Thon 93-03122 Name of Respondent(s) Hibbard Brown & Co., Inc. Derrick Morris CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on August 10, 1993, Claimants Thomas and Verna Thon, who appeared Pro Se. alleged that Respondent Derrick Morris, a broker at Respondent H

N.A.S.D. AWARD -, 0 NATIONAL ASSOCIATION OF SECURITIES DEALERS, ING) i* f? n ' c - i n ,'_Q] 15 ^ IS [i In the Matter of the Arbitration Between MAY 2 7 tqq 4 Name nf Claimants ARBITRATION- CHICAGO \ Rick Thorson, Rick Thorson as Representative of the Estate of Shirley Thorson, deceased; Bruce Thorson and Jerome Thorson and ( 93-031 17 Name of Respondent Boettcher and Co. REPRESENTATION OF PARTIES

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph and Linda Sisti. JTWROS 93-03116 Name of Respondents Chesapeake Securities Research Corporation David Basoco CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1993, Claimants Joseph and Linda Sisti, who appeared Pro Se, alleged that on July 8, 1992 they bought 250