NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00837 Napoleon Georgatos, claimant vs. New Times Securities Services, Inc., and Mike Silks, respondents. ATTORNEYS: Claimant appeared Pro Se, Jamaica, NY. Respondent, Michael Silk, appeared Pro Se, Plainview, NY. Respondent, New Times Securities Services, Inc., did not respond to the Statement of Claim. DATE FILED: February 25/2000 ~ " ~ ~ " CASE SUMMARY: Claimant alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between . K"VT!* .:TION r wi- A ~ Name of Claii Sheryl A. Brunett - ~ and 92-02990 Resondents Rauscber Pierce Refsnes, Inc. and Don HanJey REPRESENTATION OF PARTIES Claimant Sheryl A. Brunett appeared Respondents Rauscher Pierce Refsnes, Inc. and Don Hanley were represented by James T. Ritt, Esq. of Rauscher Pierce Refsnes, Inc., Dallas, Texas.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Merrill Lynch Pierce Fenner & Smith Inc Award vs. #92-02985 Name of Respondents Hibbard Brown & Co., Inc. REPRESENTATION For Claimant, Merrill Lynch Pierce Fenner & Smith Inc., ("Claimant") Stephen T. Paine from the law firm of Brown & Wood located in New York, New York. For Respondent, Hibbard Brown & Co., Inc. ("Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name qf Claimant Dennis W. Lacy and 92-02980 Name of Respondents RAF Financial Corporation and Wilfred "Chic" Dick, Jr. REPRESENTATION OF PARTIES Claimant Dennis W. Lacy was represented by Edward C. Moss, Esq. of Moss, Morris & O'Dell, P.C., Denver, Colorado. Respondent RAF Financial Corporation was represented by Gene R. Thornton, Es

ltflY-25-199-4 10:31 FROM NftSD-fiRBITRRTION-CNICfiBO TO 12128584141 P. 02 N.A.SJX AWARD NATIONAL ASSOCIATION OF S^OJIUTIBS DEALERS, INC. In the Matter of the Arbitration Between " Name John H. Smith and { 92-02949 Naine Smith Barney, Harris Upham & Co., Inc. William G. Sdlens OF PARTIES John H. Snah ("Chumaot") was represented by Clifford t> Beem, Esq., Denver, Colorado. Smith Barney, Harris Upham & Co., Inc. and William G. SeHeas (

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Virginia Crane 92-02948 Name of Respondents ~ Shearson Lehman Brothers. Inc. Bernice Freeland CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 2, 1992, Claimant Virginia Crane, who appeared Pro Se, alleged that Respondents Shearson Lehman Brothers, Inc. and Bern

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTEES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas H. Kaye and Shirley R. Kaye 92-02942 Name of Respondent Dean Witter Reynolds Inc. For Claimants, Thomas H. Kaye and Shirley R. Kaye: Thomas H. Kaye. For Respondent, Dean Witter Reynolds, Inc.: Ellen Fong of Dean Witter Reynolds, Inc. CASE INFORMATION Statement of Claim filed: August 13, 1992. Claimant's Submissi

JftN--l?-1995 10:54 FROM NPSD-fiREITFJflTrrM-OIIQ'WO TO 12133584141 P. N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS V, In the Matter of the Artritration Between Milton F. Bain 92-02937 Piist of Michigan Coiporation; David A, Bntdteton For Claimant MOtoo F. Bain ("Bain") appeared pro se. For Respondent: Ffi& of Michigan Corpo^^ ("Pendteton") were represented by Thomas R. Cox, Esq. of Mffler, Quifield, Paddock and Stone, P.L.C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stephen M. Ellin 92-02936 Name of Respondent Oppenheimer & Co., Inc. REPRESENTATION For Claimant: Stephen M. Ellin appeared pro-se. For Respondent, Oppenheimer & Co., Inc.: Michelle A. Murphy, Esq. of Oppenheimer & Co., Inc. CASE INFORMATION Statement of Claim filed: August 31, 1992. Claimant's Submission Agreement

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Norman Jr. , Norman & Mozelle Johannesen 92-02928 Name of Respondents Prudential Securities Inc Donald Skinner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 1, 1992, Claimants Norman & Mozelle Johannesen and Norman Johannesen, Jr. who appeared Pro Se, allege