NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lawrence P. Stern 96-04841 Spencer-Winston Securities Corporation Jason Weisz REPRESENTATION Claimant Lawrence P. Stern ("claimant") appeared pro se. Respondent Jason Weisz ("Weisz") appeared pro se. For Respondent Spencer-Winston Securities Corporation ("SWS") appeared Oscar Echman, a partner of SWS which is located

N.A.S.D.REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel Murphy 96-04835 Name of Respondents Dean Witter Reynolds Inc. Samuel Robert Swindells CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on October 30, 1996, claimant Daniel Murphy ("claimant"), through his representative and counsel Douglas Lally, Esq., a sole pra

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Charles Draper, Jr., Charles Draper, Sr. and Draper Machine Works, Inc. (a Washington Corporation) Arbitration No. 96-04834 Name of Respondent(si Daniel M. Porush REPRESENTATION For Claimants: Christopher B. Wells, Esq., Lane Powell Spears Lubersky LLP, Seattle, Washington For Respondent: Mark E. Gelfand, Esq

AWARD National Association of Securities Dealers Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Carolyn Dodd, Claimant. v. Case Number 96-04831 Royal Alliance Associates, Inc. and Francis Kelly, Respondents. REPRESENTATION OF PARTIES Claimant, Carolyn Dodd was represented by Gary Barket, Esquire and Charles Darwin "Skip" Davidson, Esquire of The Davidson Law Firm, Ltd. located in Little Rock, Arkan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: NASD-DR Arbitration Number 01-02203 Lloyd Slaughter (Claimant) vs. Janet Surface (Respondent) ATTORNEYS: For Claimant: Martin J. Glasser, Esq. of the law firm of Glasser, Casey & Rollins, LLP For Respondent: James Cagle, Esq. DATE FILED: April 24, 2001 Uniform Submission Agreement signed by Claimant: April 12, 2001 CASE SUMMARY: Claimant alleged breach of contract, conversion, and bre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Clai-mants Edward Garvin and Linda Garvin . Name of the Respondents Morgan Stanley DW Inc., and Charles R. Monahan, Jr. Case Number- 00-00810 ng Site- Philadelphia, Pennsylvania RF.PRF.SFNTATTDN OF PAKTTF.S Claimants Edward Garvin and Linda Garvin, hereinafter collectively referred to as "Claimants", were represented by Douglas R. Lally, Esq., Attorney at

AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Paine Webber Incorporated v. Name of Respondent Robert L. Cirillo Arbitration No. 96-04829 For Claimant: For Respondent: REPRESENTATION Kathryn L. Krebs, Esq. Paine Webber Incorporated Los Angeles, California No Appearance Statement of Claim filed: CASE INFORMATION Claimant's Submission Agreement

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Larry Paletz Anglo American Corporation v. Name of Respondent Ronald De Jong Prudential Securities, Inc. Arbitration No. 96-04828 REPRESENTATION For Claimants: For Respondent Ronald DeJong: For Respondent Prudential Securities' Inc. Edward J. Mclmyre Solomon, Ward, Seidenwurm & Smith San Diego, Cali

N.A.SJX REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04823 Steven Van Pelt, claimant vs. Pacific Coast Financial Securities, Inc. and Don Tulio Morandini, respondents. ATTORNEYS: For Claimant appeared Montgomery G. Griffin, J.D., Newport Beach, CA. Respondent Pacific Coast Financial Securities, Inc., did not respond to the Statement of Claim. Respondent Don Morandini appeared Pro Se, Huntington Beach, CA. DAT

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Seth Kanarick and Glen Kanarick a/s/o Meyers, Pollack, Robbins, Inc. (Claimants) vs. William Myshkoff (Respondent) Case Number: 96-04822 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Seth Kanarick ( a S. Kanarick") and Glen Kanarick ("G. Kanarick") a/s/o Meyers, Pollack, Robbins, Inc. ("MPR"),hereinafter collectively referred to as "Claimants"