N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp 95-043 14 Name of Respondent ® Natjonal Associallon of Securities Dealers. Inc. Steven Frantz All Rights Reserved REPRESENTATION For Claimant GKN Securities Corp. ("GKN"), appeared Katherine Nathan, Esq., in-house counsel for GKN Securities Corp., located in New York. ' . Respondent Steven Frantz

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01964 Access Financial Group, Inc., claimant vs. Anthony Mango, respondent. ATTORNEYS: For Claimant appeared Andrew S. May, Esq., Henderson & Lyman, Chicago, IL. Respondent did not submit a response to the Statement of Claim. DATE FILED: April 18, 2001 CASE SUMMARY: Claimant alleged that respondent failed to pay additional funds to cover his margin calls therefore creating a debit b

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ann G. Militello Award No. vs. 95043 11 Name of Respondents 1 © National Association of _. T _, . Securities Dealers, Inc. First Investors Corporation Richard Randall Turner All Rights Reservec REPRESENTATION For Claimant, AM G. Militello ("Claimant"), Harry S. Miller, Esq. and Elizabeth F. Marx, Esq^i -

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Martin D. Monciardini Claimant NASD Regulation, Inc. v. No. 95-04308 H.J. Meyers & Co., Inc., Thomas James Associates, Inc., Kevin Hoag, Chris Boggs, and Michael Raleigh Respondents REPRESENTATION OF PARTIES Martin D. Monciardini ("Claimant") was represented by Timothy F. Perry, Esq., Law Offices of Timothy F. Perry, San Francis

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Laurie Ventura 9544307 Name of Resnondents T _ + *A • c • fc National Association of Investment Advisory Services Securities Dcaters In Estate of Emery E. Boudreau All Ri< rr,t s R- REPRESENTATION Claimant Laurie Ventura ("Claimant") was represented by John P. Connolly, Esq. of Law Offices of Jo

NASD Regulation, Inc. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Sophie Bernardet Kristian Srb Derek Layton 95-04304 Name of Respondents RAS Securities Corp. Chatham Capital Partners Barry Wayne Blank REPRESENTATION For Claimants Sophie Bernardet ("Bernardet"), Kristian Srb ("Srb") and Derek Layton ("Layton")(collectively "Claimants") appeared Harry H. Wise, III, Esq., New York,

%D AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between PRUDENTIAL SECURITIES INCORPORATED, Claimant, -and- No. 95-04295 ROBERT T. ZOLLER Respondent. REPRESENTATION OF ^^^"Q For Claimant: Prudential Securities Incorporated was represented by Steven P. Gomberg,'Esq., Gomberg Kane & Fischer, Ltd., 208 South LaSalle Street-Suite 1800, Chicago, Illinois< 60604: ;IP For Respondent: Robert T. Zol

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) John T. and Jeri A. Snyder 95-04290 Name of Respondents') Smith Barney Shearson, Inc., n/k/a Smith Barney, Inc. Mary Kay Voss CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 8, 1995 and in an amended claim filed on February 16, 1996 Claimants John T. and Jeri A. Snyder, who

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donna Marie Rocco 95-04289 Name of Respondent Dreyfus Investment Services Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 8, 1995 Claimant ^Bbnha^atfeVRocw-^ Se, alleged'tot she held account jS&369i$8$&1^ with Respondent Dreyfus Investment Services Corporation ("R

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Elias and Anna Karaffa Case No. vs. 95-04282 Name of Respondents Chase Securities First Montauk Securities Paul Giarmoleo Ty Rodriguez Robert T. Kirk Paul Deperino REPRESENTATION For Claimants Elias and Anna Karaffa ("Claimants") appeared Peter C. McGinnis, feq.pa ir sote practitioner, located in Poughkeepsie, New York. pnccicioc er