7 /" c lfcCfc/2-l N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Philip Polonet 950446 1 Name of Respondent < & National Association of Securities Dealers, Inc. National Discount Brokers AH Rights Reserved CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 19, 1995, Claimant Philip Polonet ("Claimant"), who ap

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERI3 In the Matter of the Arbitration Between Name of Claimant Margaret B.Harris 95-04457 Name of Resnondents & co., Inc. William Pierce Carroll Broadcort Capital Corp. REPRESENTATION For claimant Margaret B. Harris ("claimant"), appeared Richard F. Lark, Esq. ftbm tihetlaw: firm of Lark & Folts, located in Cutchogue, New York. unn of I..arV & v o For respondent Spelma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeri Schneider Nam gf Capital Corp. Mark Moore 95-04451 © National Association of Securities Dealers, Inc. A11 „. «, „ , All Rights Reserved REPRESENTATION For Claimant Jeri Schneider ("claimant") appeared Scott Hilsen, Esq. of the law firm Robins, Kaplan, Miller and Giresi located in Atlanta^ Georgia. ^; < .

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between ; Name of Claimant ' PaineWebber, Inc. © National Association of 95-04450 Securities Name of Respondent Edward A. Goldman REPRESENTATION AU Rights Reserved For Claimant PaineWebber, Inc. ("Claimant"): Thomas M. Mierswa, Jr., Corporate Vice President and Senior Litigation Counsel, PaineWebber, Inc., Weehawken, NJ. For R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ralph V. Braun 95-04440 o espondents Kidder, Peabody & Co., Incorporated Keith A. Mericka REPRESENTATION For Claimant: Jeffrey P. Coleman, Esq., dearwater, Florida. For Respondents: Thomas A. Dubbs, Esq. and David Rivera, Esq., in-house counsel at Kidder, Peabody & Co., Inc. ("Kidder"). v Co., te,( CASE INFORMATION Statementofaaim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ken Kirschenbaum 95-04432 N .me of %e> PC ".dents A.S. Goldmen St. Company Frederick Fusco CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 18, 1995 Claimant < - K^ : kir^c^hbiauni^ (^aimanV') who appeared Pro Se, alleged that he held account jWttJl^^^^—M$ with Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark Howland Miller Name of Respondent E*Trade Securities, Inc. 95-0443 J CASE SUMMARY In a claim fiJed with the National Association of Securities Dealers, Inc. on September 18, 1995 Claimant Mark Howland Miller ("Claimant"), who appeared Pro Se, alleged that he held account< #Q52 J 55837 with Respondent E* Trade Securities

*-*n< N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harry M. Brown 95-04430 Name of Resp9r|dente & National Association of Securities Dealers. Inc. Josephthal Lyon & Ross Inc. Blech & Company, Inc. All Rights Resend Tom Roskin REPRESENTATION For Claimant Harry M. Brown ("Claimant") appeared Mark A. Phillips, Esq., of the'lawifinn'i of Benesch, Friedlander, Copl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gerald E. Danby, (Claimant) v. GKN Securities Corp., Investec Ernst & Co., BNY Clearing Services LLC f7k/a Schroder & Co., Inc., Elliot Kurz, and Matthew Gothers, Fiduciary of Estate of Richard M. Gothers, (Respondents) Case Number: 01-01967 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Gerald E. Danby, hereinafter referred to as "Claimant": James B. Davis, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barry Edelstein Marlene Edelstein Barry Edelstein, C.F/David Edelstein Barry Edelstein, C.F/Lyndsay Edelstein Barry Edelstein, C.F/Daniel J. Edelstein 95-04429 Name of Respondents Bear Stearns & Company Kenneth F. Lebow Rochelle Cohen REPRESENTATION For Claimants Barry Edelstein, Marlene Edelstein, David M. Ede