N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Christine M. Walsh ' • • • • '"»• *"•!:; 92-03683 Name of Respondents Malone ft Auociates, Inc. Wayne D. Wheeler - Claiinwtf CBratincM. W^("CliinTJBtt^) w« represented by Jeff A. Schncpper, Biq. of Jeff A. Schneppcr & Associates. Respondent Malone it. Associate*, Inc. ("Malone") was not represented. Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Talaat H. Mohamed, M.D. APMC Talaat H. Mohamed, M.D. Names of Respondents A.G. Edwards & Sons, Inc. Roy Allain St. Paul, Jr. Case Number. 01-02513 Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For Talaat H. Mohamed, M.D. APMC (the "Corporation") and Talaat H. Mohamed, M.D. ("Dr. Mohamed"), hereinafter collectively referred to as "Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Manhattan College Endowment Fund 92-03681 Name of Respondents Shearson Lehman Brothers, Inc. Peter M. O'Neill REPRESENTATION For Claimant Manhattan College Endowment Fund ("Manhattan College") appeared Franklin D. Ormsten of the law firm of Onnsten & Evangelist, Jericho, NY. For Respondent Shearson Lehman Brothers, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David C. Hastings No. 92-03678 Name of Respondents Merrill Lynch Pierce Fenner & Smith. Inc. Jon M. Fletcher Therese K. Waigand Jim Svenstrup ~ ~~ rc.ElPF S1 ?NTATION OF PARTIES Claimant appeared pro se. For Respondents: Elizabeth G. Armstrong, Esq., of Merrill Lynch, Pierce, Fenner & Smith. Inc. New York, N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc. Case# vs. 92-03674 "i ' Name of Respondent Philip C. Puccio REPRESENTATION For Claimant: Gilbert W. Boyce, Esq. and Joseph Ingrisano, Esq. of Kutak Rock. For Respondent: Franklin D. Ormsten, Esq. of Ormsten & Evangelist CASE INFORMATION Statement of Claim filed: October 29, 1992. Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carl W. Poe 92-03671 Name of Respondents Stratum Oakmont. Inc.; Bear Stearns Securities. Corp.; Howard S. Geifand; Kenneth S. Greene; Jordan R. Belfort; Daniel M-Porush. . REPRESENTATION For Claimant: Carl W. Poe ("Poe") was represented by William J. Hawkins, Esq. of Houston, Texas, and Daniel R. Kirshbaum, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles S. Walsh 92-03668 Name of Respondents Olde Discount Corporation Todd M. Pearson Jonathan M. Bower CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 29, 1992, Claimant Charles S. Walsh, who appeared Pro Se, alleged that Respondent Todd M. Pearson, while employed by

o / f National Association of Securities Dealers Case Number 92-03667 In the Matter of the Arbitration Between Aaron S. Bell, Trustee, The Jacob Bell Family Trust, Claimant and capital Analysts of New England, Inc Charles Evan, Case Information: Respondents Decision and Award This matter was submitted to arbitration pursuant to a Uniform Submission Agreement executed by Claimant August 5, 1992; by Respondent Evan January 20, 1993

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Nfome of Claimants John D. and Linda Armstrong and 92-03661 of Resondents Cullom & Sandow Securities, Inc. and Richard Wells REPRESENTATION OF PARTIES John D. and Linda Armstrong ("Claimants") were represented by Arch B. Gilbert, Esq., Fort Worth, Texas. 4 •» . i » Cullom & Sandow Securities, Inc. and Richard Wells ("Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant! s) Upsilon Intemation Corp. Eudoro A. Olguin Case No. 92-03647 Name of Resoondent(s) Prudential-Bache Securities Inc. Nicholas Sanee REPRESENTATION For Claimant. Upsilon Intemation Corp. ("Upsilon") and Eudoro A. Olguin ("Olguin"):, William P. Doyle, Esq. For Respondents, Prudential Securities, Inc. ("Prudential") and