N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Phillip N. & Judith E. Sublett 95-03729 Name of Respondents Charles J. Givens Kenneth B. Cobb, II Jack W. Dicks Charles C. Smith Delta First Financial, Inc. REPRESENTATION For Claimants, Phillip N. & Judith E, Sublett ("the SublettV): Neal J. Blaher, Esq. of Orlando, Florida. For Respondent, Charles

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant John Harty 95-03726 Name of Respondents Bancomer Securities International Inc. Casa De Bolsa Bancomer. S.A. REPRESENTATION For Claimant, John Harty, ("claimant") appeared Marshall H. Fishman, Esq, of the law firm Rosenman & Colin located in New York, New York and substitute counsel for Lloyd R. Schwed, Esq. of the law firm Hertz, S

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Richard F. Cooper, Jr. 95-03724 Name of Respondents Alex Brown & Sons Incorporated Mark Branigan REPRESENTATION For Claimant Richard F. Cooper, Jr. ("claimant") appeared Jonathan Katz, Esq., of the law offices Jacobs, Grudberg, Belt & Dow, P.C. located in New Haven, Connecticut. For Respondent Alex Brown & Sons, Inc., ("ABS") appeared Daniel Donovan, Esq., Co

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Leon and Dora Under 95-03715 Name of Respondents Smith Barney Shearson, Inc. Stanley Leii'er Irwin Kabat REPRESENTATION For Claimants Leon and Dora Linder ("Claimants") appeared Gary J. Greenberg, Esq. located in New York, New York. For Respondents Smith Barney Shearson, Inc. ("Smith Barney") Stanley Leifer ("Leifer") and Irwin Kabat ("Kabat") (collectiv

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ervin D. Kemnitz, and Carol M. Kemnitz, Claimants, v. No. 95-03713 Simmons & Bishop Co., Inc., and K. Mark Skow, Respondents. REPRESENTATION OF PARTIES Ervin D. Kernnitz and Carol M. Kemnitz ("Claimants") appeared on their own behalf. Simmons & Bishop Co., Inc. ("SBC") and K. Mark Skow ("Skow") (collectively referred to as "Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of the Claimants Travis Balch and Betty Ann Balch and IRA for FBO Betty Ann Balch Names of the Respondents John R. Taylor Financial Group, Inc. and John R. Taylor, individually Case Number: 01-01927 Hearing Site: Little Rock, Arkansas REPRESENTATION OF PARTIES For Travis Balch and Betty Ann Balch and IRA for FBO Betty Ann Balch, hereinafter collectivel

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Mangaraju Kolluru, M.D. 95-03709 Name of Respondent Syed Ahsan Naqvi REPRESENTATION Claimant Mangaraju Kolluru ("Claimant") appeared pro se. Respondent Syed Ahsan Naqvi ("Respondent") was represented by Vincent M. Lentini, Esq., Doros & Brescia, New York, NY. CASE INFORMATION The Statement of Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants_ Waiter W. and Marie Brando Strakowski 95-03706 Name of Respondents © National Association of Raymond James & Associates, Inc. Securities Dealers, Inc. ' investment Management & Research, Inc. William M. Kean All Rights Reserved William M. Kean & Associates, Inc. REPRESENTATION For Claimants, Walter W. and Marie Brando

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Thomas J. White and 95-03701 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION OF PARTIES Thomas J. White ("Claimant") was represeted by Christopher R. Alger, Esq., Denver, Colorado. Dean Witter Reynolds, Inc. ("Respondent") was represented by Ralph P. Schiavo, Esq., Dean Witter Reynolds, Inc., New York, New Yo

fl^.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Patricia J. Praegitzer Name of Respondent Smith Barney, Inc. NASD Arbitration No. 95-03700 REPRESENTATION For Claimant: For Respondent: Robert A. Uhl, Esq. Aidikoff & Uhl Los Angeles, California Ellen Slipp, Esq. Smith Barney Shearson, Inc. New York, New York CASE INFORMATION Statement of C