N.A.S.D. AWARD 4 NATIONAL ASSOCIATION OF SECURITIES DEALERS I 1 »• In the Matter of the Arbitration Between Name of Claimants Michael T. and Nancy J. Benson 96-02542 Name of Respondents A.S. Goldmen & Company, Inc. Michael Mullen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 13, 1996, claimants Michael T. and Nancy J. Benson who held an account as joint tenants with the right

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kathy Parker and 96-02539 Name of Respondent Strategic Resource Management, Inc. William Moler Catherine Moler REPRESENTATION OF PARTIES Kathy Parker ("Claimant 11 ) was represented by James R. Florey, Jr., Esq., Englewood, Colorado. Strategic Resource Management, Inc. ("Respondent Strategic"), William Moler and Cath

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Thomas H. Stafford 96-02538 Name of Respondents Josephthal Lyon & Ross Inc. Matthew Jules REPRESENTATION For claimant Thomas H. Stafford ("claimant") appeared his counsel James D. Bryce, Esq. of the law firm Mackay, Daniel, King, Hudson & Bryce located in Decatur, Georgia. For respondents Josepht

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Daniel F. Rogers and 96-02532 Name of Respondent Wood Logan Associates, Inc. Ronald W. Schantz REPRESENTATION OF PARTIES Daniel F. Rogers ("Claimant") was represented by Dennis Paul Pelowski, Esq., Minneapolis, Minnesota. Wood Logan Associates, Inc. ("Respondent Wood Logan") and Ronald W. Schantz ("Respondent Schantz") w

. 14. 1998 8: 18GM NASD REGULATION FL HO. 465 P. 2/5 AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Michael Wright 96-02527 Smith Barney, Inc. REPRESENTATION For Claimant Michael Wright ("Wright"): Debra Raskin, Esq. of Vladeck, Waldman, Elias & Engelhard, P.O., New York, New York, For Respondent Smith Barney, Inc. ("Smith Barney"): Michael W. Casey, HI, Esq. of Muller, Miutz, Komri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 96-02524 Name of Respondent Richard H.H. Cheong CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 12, 1996, claimant Prudential Securities, Inc. ("claimant") through its representative, Linda Gallagher, Esq., of the law firm of Gomberg Kane & Fisher, Ltd.

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant L.T. Lawrence & Co., Inc. 96-02523 Name | of Respondent Michael lacono REPRESENTATION For Claimant L.T, Lawrence & Co., Inc. ("LTL") Michael F. Bachner, Esq. located in New York City, NY. For Respondent Michael lacono ("lacono") Andrew L. Jaloza, Esq. located in New York City, NY (appeared with Respondent at the 2nd

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Carmen Cossentino 96-02520 Name of Respondents Alex Brown & Sons, Incorporated Jon D. Kurzmann REPRESENTATION Claimant Carmen Cossentino ("Claimant") was represented by David H. Zirnmer, Esq., Potomac, MD. Respondents Alex Brown & Sons, Incorporated ("Alex Brown") and Jon D. Kurzmann ("Kurzmann")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kevin W. Kelley, Claimant v. U.S. Bancorp Piper Jaflray, Inc. and Cydney Crampton, Respondents Case Number: 01-02110 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Stephen H. Dye, Esq. Schnader Harrison Segal & Lewis San Francisco, California ! For Respondents: Kelly J. Moynihan, Esq. Keesai, Young & Logan San Francisco, Ca

AftARD HASP RBGOIATIQN. IMC.. QFFICg OF DISPUTE RBSQIttlTIQN In the matter of the Arbitration Between Name of Claimant(s) Patrick S. Nelson Arbitration No- 96-02517 Name of Respondent: (a \ Charles Schwab & Co., Inc. John Williams SBPRBflgNTATIOM For Claimant: Jeffrey L, Silvestrini, Esq., Cohne, Rappaport & Segal, P.C., Salt Lake City, Utah For Respondents: Steven Lanum, Esq., Charles Schwab & Co., Inc., San Francisco, Californi