N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants 99 Commercial Street Inc. Martin Kennedy Clark McLain 93-00970 Name of Respondents Gary M. Goldberg Gary Goldberg & Co.. Inc. For Claimants 99 Commercial Street, Inc., Martin Kennedy, and Clark McLain (hereinafter collectively referred to as "Claimants") appeared Joseph F. Keenan, Esq. of the law firm of Bochat & Keena

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants George F. Haltom and Joyce M. Haltom 93-00950 Name of Respondents Blunt, Ellis & Loewi, a division of Kemper Securities, Inc.; Steven R. Middendorf REPRESENTATION For Claimants: George F. Haltom and Joyce M. Haltom ("Haltom") were represented by Charles A. Siegel m, Esq. of Siegel & Wolff, P.C., located in St. Louis, Misso

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SFCT TRTTTES DFAT.ERS. INC. In the matter of the Arbitration Between Name of Clairnant Wedbush Morgan Securities, Inc. Name of Respondent Joel Kaplan NASD Arbitration No.93-00932 For Claimant; Marie Eaton - Wedbush Morgan Securities, Inc. For Respondent: No appearance. CASE INFORMATION Statement of Claim filed: March 11, 1993 Claimant's Submission Agreement signed: March 1, 1993 Statement of

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-02571 Emile Wanich RhodaWanich Names of the Respondents Hearing Site: Boca Raton, Florida Benson York Group, Inc. Gregory E. Goldstein Michael H. Caldera Steven J. Cohen Bradford A. Miller REPRESENTATION OF PARTIES For Emile Wanich and Rhoda Wanich, hereinafter collectively referred to as "Claimants": Lawrence L.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ann Dorst vs. Claimant i ) Case 187-02761 Award Drexel Burnham Lambert, Inc. Respondent Heard before the members of the Arbitration Panel: Oh May 18, 1989, in San Francisco the arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant on Ann Oorst on May 16, 1988, and by Respondent Drexel

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Robert M. Jannone, ) Claimant ) vs. ) Viceroy International Securities, Inc., ) Case #87-02753 ) Award Respondent ) and ) Cowen & Company, ) Respondent ) Third-Party Claimant ) vs. ) Robert J. Onesti and ) Avin Bakal, ) Third-Party Respondents ) On May 5, 1989, the undersigned arbitrators heard the controversy between t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Winifred M. Braun Claimant vs. Award 087-02749 Herzfeld & Stern, Inc. Philips, Appel & Walden, Inc. Gruntal & Co., Inc. Respondents The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in submissions to arbitration signed by the Claimant on De

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George M. Hornfecke Claimant(s) vs. J.T. Moran & Co., Inc. Novatech Capital Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 87-02745 CASE SUMMARY Claimant George M. Hornfecke alleged that Respondents J.T. Moran & Co., Inc. Novatech Capital Corp. failed to execute a sale. Respondents maintain that the Claimant was in Europe at the time of the a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James A. Williams Claimant(s) vs. 87-02729 Olde Discount Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant James A. Williams alleged that Respondent Olde Discount: Corp. mismanaged his account as there was a time delay from the time of order to execution. Additionally James A. Williams alleged that there was a difference betwee

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert M. and Sandra W. MacLeod Claimants vs. Robert C. Carr & Co., Inc. Robert Daniels Respondents AWARD #87-02724 Case Summary On January 4, 1990, the Claimants Robert M. and Sandra W. MacLeod (hereinafter "Claimants") alleged that Respondents Robert C. Carr & Co., Inc. (hereinafter "Robert Carr") and Robert Daniels (hereinafter "Daniels") breac