N^uS J>. A WARD NATTOMAT. A< tSOf.TATTnN OP ffFrTmTTTP'g nTTATTTR,^ TMP. In the pmrtffr of ?h^ Arbitration Between LeeDymits NASD Arbitration No: 9341716 Pacific Brokerage Services, IDC. For f^ta{»r»^TfT; Tn Pro Sc For Rnponrf^r; Stephen P. BedeH, Esq. - Gardner Carton & Douglas • Chicago, HL CASE TVPQRMATTQV Statement of Claim filed: April 29, 1993 Claimant's Submission Agreement signed: April 23, 1993 Answer ffled by Respondent: July 20

Tf N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURH !• S DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Edward P. Fernandez, Trustee for Aztec-Marin Defined Benefit Pension Plan NASD Arbitration #93-01714 vs. Name of Respondents First Associated Securities Group, Inc. Larry Miller REPRESENTATION For Claimant: Reed H. Bement, Esq., San Francisco, California For Respondents: Patrick Baldwin, Esq., Menlo Pa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cjaimaity Anne P. Nagel 93-01709 Name of Respondent; Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant: Anne P. Nagel ("Nagel") was represented by Walter L. Baumgardner, Esq, of Musilli, Baumgardner, Wagner & Parnell, P.C., located in St. Clair Shores, Michigan. For Respondent: Shearson Lehman Brothers, Inc.("Shearson"), now kn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Fred and Joan Boeheim Case No. vs. 93-01666 Name of Respondents Westmoreland Capital Corporation Terry J. King REPRESENTATION For Claimants, Fred and Joan Boeheim, ("Claimants"), Eric A Bloom, Esq. located in Buffalo, New York. For Respondent, Westmoreland Capital Corp., ("WCC"), Robert J. Lane, Esq. from the law f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS »*~ In the Matter of the Arbitration Between Name of Claiman| Jeff Goldstein Case No. 93-01645 Name of Respondents Stratton Oakmont, Inc. Jordan Belfort Steven Cohen REPRESENTATION For Claimant Jeff Goldstein: Dyanne E. Feinberg, Esq. of Gilbride, Heller & Brown, P.A., Miami, FL. For Respondents Stratton Oakmont, Inc., Jordan Belfort, and Steven Cohen: Ronald Shindler,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the flaiTnants Case Number: 01-02596 Alexander Dedicov Nadie Dedicova p nf the Respondents Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Jane Frances LaMay Robert Aronberg Nature of the Dispute: Customers vs. Member and Associated Persons RF.PRF.SF.NTATION OF PARTTF.S Claimants, Alexander Dedicov and Nadia Dedicova, hereinafter collect

MflR.21.1997 12=21PM NASD REGULATION FL NO.997 P.I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of CU Raymond, James & Associates, Inc. 93-01609 Name of Resoondentfs^ Lee Rosen For Claimant, Raymond, James & Associates, Inc. ("RJA P ): John N. Critchlow, Esq. of Raymond James & Associates, St Petersburg, Florida. For Respondent, Lee Rosen ("Rosen"): David C. Levemeicb, Esq. o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Catherine Lacey Rosemary Lacey and Ariene Beyna, Custodian for Terry and Thoma Beyna Claimants vs. Mosely Hallgarten, Estabrook & Weeden an Bruce P. Bagge Respondents REPRESENTATION OF PARTIES Claimants Catherine Lacey, Rosemary Lacey and Ariene Beyna were represented by Wayland B. Cedarquist, Esq., Chicago, Illinois. Respondent Bru

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) THOMAS E. SIMPSON ) Claimant(s) ) and ) ) CASE NO. 87-02603 BLINDER ROBINSON & CO., INC. ) Respondent(s) ) and ) Richard J. Tremaine ) Third Party Respondent ) CASE SUMMARY Thomas E. Simpson ("Claimant") alleged that Blinder Robinson & Co., Inc. ("Blinder") failed to properly execute his order to sell 200,000 shares of Abek, Inc. in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Carl N. Karcher, Trustee vs. Morgan Stanley & Co., Inc., Arthur L. Thompson and Joseph P. O'Conner, Jr. Between ) Claimant ) ) Respondents ) ) ) AWARD CASE NO. 87-02582 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on December 14, 1987. Claimant alleged that over a period of