NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00618 John E. Lugaresi, Claimant vs. Edward L. Bates, and Great American Financial Network, Inc., Respondents. ATTORNEYS: Claimant appeared Pro Se, Westerly, RI. Respondents did not respond to the Statement of Claim. DATE FILED: 00-00618 CASE SUMMARY: Claimant alleged that respondent Great American Financial Network, Inc., made a single unauthorized trade of 3100 shares of Grea

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wedbush Morgan Securities, Inc., Claimant v. Diep Q. Le and Tarn M. Le, Respondents Case Number: 01-02486 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Gary L. Holmes, Esq. Wedbush Morgan Securities, Inc. Los Angeles, California For Respondents: Richard Sacks Securities Arbitration Consultant Novato, California CASE INFORMATION S

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Craig M. Ririe (Claimant) v. American Funds & Trusts Incorporated (Respondent). Case Number: 00-05344 REPRESENTATION OF PARTIES For Claimant Craig M. Ririe, hereinafter referred to as "Claimant": Kalju Nekvasil, Esq., Goodman & Nekvasil, PA, 14020 Roosevelt Blvd., Ste. 808, P.O. Box 17709, Clearwater, FL 33762 For Respondent American Funds & Trusts Incorporated,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeffrey T. Scymanski, (Claimant) vs. A.G. Edwards & Sons, Inc., Lawrence B. Lawson, and Brian J. McCafferty, (Respondents) Case Number: 00-03960 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jeffrey T. Scymanski, hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., a sole practitioner, Morristown, NJ. Previously represented by: Albert A. Rapo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John C. Powell and John C. Powell, M.D., P.S.C., Claimants Vs. Case Number: 00-03809 Preston Langley Asset Management, Inc., J.B. Oxford & Company, Marlowe Holdings, LLC, Gregg Adams, Robert W. Lisnoff, Jr., Christopher Russo, and Nathaniel Ian Shapinsky, Respondents Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimants John C.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan Grodko (Claimant) vs. Montrose Management, Ltd., and Alexander, Westcott & Co., Inc., (Respondents) Case Number: 01-00283 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant Alan Grodko hereinafter referred to as "Claimant" appeared pro-se. Respondent Alexander, Westcott & Co., Inc., hereinafter referred to as "Al

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stephen J. Tutt 92-03641 Name of Respondents Schneider Securities, Inc. Joni L. Merwin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 28, 1992, Claimant Stephen J. Tutt, who appeared Pro Se, alleged that on June 24,1991 Respondent Joni L. Merwin, an Agent with R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the .Arbitration Between Name pf CjaimantCsl Suzanne Brower Jeff Brower NASD Arbitration No.92-03640 Name of Respondent si Alan Tout! Gruntal & Co., Inc. REPRESENTATION For Claimant: Jeffrey Brower For Respondents: Kimberly linger - Gruntal & Co., Incorporated, New York, NY. CASE INFORMATION Statement of Claim filed: October 27, 1992 Claimant

N.A.S.D. REGULATION, INC STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant J. D. Prince 92-03638 Name of Respondent Oppenheimer & Co., Inc.; John P. Fitzgerald REPRESENTATION For Claimant: J.D. Prince ("Prince") was represented by Thomas K. Potter III, Esq., of Jones, Walker, Waechter, Poitevent, Carrere & Denegre, located in New Orleans, Louisiana. For Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Doris Lee Bradley vs. NASD #92-03623 Name of Respondent Dean Witter Reynolds, Inc. For Claimant: Eric H. Brandenburg and Larry Brandenburg of Monterey, California For Respondent: Curt H. Mueller, Esq. of Dean Witter Reynolds, Inc. of San Francisco, California. CASE INFORMATION Statement of Claim filed: October 27, 1992