Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gary Heuer and Elizabeth Heuer, (Claimants) vs. Jesup & Lamont Securities Corp., Robert Cochran, Howard Curd, and Richard McLoone, (Respondents) Case Number: 01-01965 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Gary Heuer ("G. Heuer") and Elizabeth Heuer ("E. Heuer"), hereinafter collectively referred to as "Claimants": Kim Juhase, Esq., Novak & Juhas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Frank and Mildred Kregloski Name of Respondents Chemical Investor Services, Inc. Gary Stefanski CASE SUMMARY 95-04350 & National Association of Securities Dealers, Inc. All Rights Reserved In a claim filed with the National Association of Securities Dealers, Inc. on September 12, 1995, Claimants Frank and Mildred K

N.A.S D. AWARQ NAUONAI. ASSQCIATTON OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Charles Stevens Nanry* of Respondents Fred Maaskamp and Smith Barney. Inc. REPRESENTATION For Claimant: Douglas K. Schreiber, Esq. Anker & Hymes.,., .,,, .,. Encino, California Marion S. Chan, Esq. Smith Barney, Inc. New York, New York CASK INFORMATION Statement of Claim filed: Claimant's Submissio

( -/V NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Roger L. Belger Claimant, v. No. 9504347 Rauscher Pierce Refsnes, Inc. c-National Association O f Securities Dealers, Inc. Respondent. All Rights Reserved REPRESENTATION OF PARTIES Claimant Roger L. Belger represented himself. Respondent Rauscher Pierce Refsnes* Int.'.was represented by Sharon J. ShumwayyrEsql.'of I-

AWARD HASP REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantfs) Berit B. Miller Arbitration No. 95-04337 of Resondent ( s Smith Barney Inc., also known as Shearson Lehman Hutton; George Peterson; and Kim Mastel , _ - , REPRESENTATION For Claimant: David A. Tallant," Esq., Rancho Cordova, California For Respondents: Sean J. Coughlin, Esq., Smith Barney Inc., New York, New

AWARD NASD Regulation, Inc. Office of Dispute Resolution o National Securities DCP!.-" - In the Matter of the Arbitration Between •—• too/; Daniel J. Schmitt, Claimant, All Rights Reserved v. No. 95-04335 Witter Reynolds, Inc., and Daniel M. Prescott, Respondents. REPRESENTATION OF PARTIES Daniel J. Schmitt ("Claimant") was represented by Charles Seigel, Esq., of Seigel & Wolff, P.C., St. Louis, Missouri. T ^ "

N.A.S.D. AWARD IN THE MATTER OF THE ARBITRATION BETWEEN Lenora Coble and Case Number 9504334 Terrance (Terry A.) Buttler & National Association of REPRESENTATION Securities Dealers. Inc. Lenora Coble ("Claimant") appeared pro se'. All Rights Reservec Terrance (Terry A.) Buttler ("Respondent") did not appear at the hearing yet filed a Submission Agreement and a Statement of Answer pro se'. CASE INFORMATION The Statement of Claim was; filed on

Sent by: ' '"sen BY-. 10-23-96; i: N.A.S.D. AWARD * NATIQNAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Nora Duncan v NASD Arbitration No. 9504333 Name of Respondents A.S. Goldmen & Company and WUJjp E. Steele REPRESENTATION For Clainum; Steve A. Bucbwslier, Eaq. nd Bruce Garfiekl Law Offices of Steve A. Buchwaltet Encino, Califbrait For Respondent A.S. Goldmen ft Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Anne Jones Sweeney 95-04321 Name of Respondent(s) Alex Brown & Sons Incorporated William Hatter CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 11, 1995, Claimant Anne Jones Sweeney, who appeared Pro Se, alleged that Respondent Alex Brown & Sons ("Alex Brown"), through

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kohn Financial Corporation 95-04315 Name of Respondent Danny L. Phipps, Jr. Securities Balers. C' AH Kfehts Jfeservfid REPRESENTATION Claimant Kohn Financial Corporation ("Claimant") was represented by Joseph J. Dehner, Esq,, Frost & Jacobs, Cincinnati, OH. Respondent Danny L. Phipps, Jr. ("Respondent") was represented by P