N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David Alan and Karen Hill 95-03630 Name of Respondents Elliot Fisher Cartwright & Walker Securities, (nc. CASE-SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 27, 1995, Claimants David Alan and Karen Hill ("Claimants"), who appeared Pro Se, alleged that Respondents Elliot Fisher (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Seymour N. Harris 95-03627 Name of Respondents The Wellington Group, Inc. Kevin Kading Craig H. Shapiro Joseph Matorano CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 27, 1995, Claimant Seymour N. Harris, who appeared Pro Se, alleged that Respondent The Wellington Group,

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jacob PaJterovich 95^03622 Name pf Respondents Biltmore Securities, Inc. Howard Gostfrand Thomas Pronesti REPRESENTATION For claimant Jacob Palterovich (."claimant") appeared Dan Brecher. Hsq. of the Law Offices of Dan Brecher located in New York. New York. For respondents Biltmore Securities, Inc. ("Bilimore"), Howard Gostfrand ("Gostfrand

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Met-er :*f the Arbitration Between Name o£Cjaimant Dean Witte." R'yuoids, Inc. CASE NO, 95-03621 Name_,oLRgspondent Christopher L Boesch REPRESENTATION For Claimant, De*n Witter Reynolds, Inc. ("Dean Winer"): Michael S. Taaffe, Esq., of Abel, Band, Russell. Collier, Pitchford & Gordon of Sarasota, Florida. For Respondent, Christopher J. Boesch ("Boesch"): pro se CASE INFORM

AWARD N'ASi) Regulation. inc. Office of Dispute Resolution In the Matter of the \rhiirauwi Joyce H. Smith. Claimant. \. No. 95-03617 Morgan Keegan &. Company Uu- . John Martin & Marcus S. t'hilders. RKPUKSKiNTATION OF PARTIES Claimant Jo>ce II. Smith ("Claimant") u;is represented by James Reharehak of Miller. Hamilton. Snider & Odom located in Mohile. Alabama. Respondents Morgan Keeuan A, t'oinpany, inc. ("Morgan Keeiian"). John Maiiiii ("Ma

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant De Anza National Bank v. NASD Regulation. Inc. Arbitration No. 95-03615 Name of Respondents Robert Colvin and RAF Financial Corporation REPRESENTATION For Claimant: Montgomery G. Griffin. J.D. Law Offices of Jeff Dennis Fereruz Newport Beach, California For Respondents: James Rollin Miller, Esq. Paul R. Wood. Es

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Leonard E. Weller, and Barbara P. Weller Claimants, v. No, 95-03613 Prudential Securities, Inc., and Scott Kurth, Respondents, REPRESENTATION OF PARTIES Claimants Leonard E. Weller and Barbara P. Weiier were both represented by Alfred J. Gemrich, Esquire of Gemnch, Moser, Bowser & Lohrmann located in Kalamazoo, Michigan. Respondent Prudentia

NASD Arbitration No. 95-03610 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Farallon Capital Partners, L.P. Name of Respondent(s) M.J. Whitman, Inc. Chicago Partnership Board, Inc. REPRESENTATION For Claimant: Brian S. Fraser, Esq., Richards Spears Kibbe & Orbe, New York, New York For Respondent M.J, whitman, Inc. : Brian Zagon, Esq., Keesal, Young & L

Oct-06-2003 Q8:19am From-NASDA DISPUTE RESOLUTION T-G94 P.002/OOS F-667 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel R, Sniegowski IRA, Claimant v. Fidelity Brokerage Services, Inc,, Respondent Case Number: 01-01922 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Daniel R. Sniegowski Los Angeles, California For Respondent: i W. Douglas Kari, Esq. ! Orrick, Harrington & Sutchlifie LL

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George K. Baum & Company, Claimant, v. No. 95-03604 Risdan DePaul Kasper, Respondent. George K, Bauni & Company ("Claimant") was represented by W. Perry Brandt, Esq. and Anthony Durone, Esq. of Stinson, Mag & Fizzell, Kansas City, Missouri. Risdan DePaul Kasper ("Respondent") was represented by Lee M. Smithyman, Esq., of Smithyman & Zakoura,