N.A.S.D. AWARD NATIONAL ASSOdATICN OF SECURITIES DEAZ£RS In the Matter of the Arbitration Between Name of Melvin Greenstein 92-00597 Name of Respondents Jeffrey Brooks and Jeffrey Brooks Securities, Inc. Claimant appeared pro se. Respondent was represented by Lee Bialostok, Esq. of the Lee Bialostok Law Offices. Statement of f*i«-i™ filed on: February 18, 1992. Claimant's Submission Agreement signed on: February 12, 1992. Joint State

N.A.S.D. AWARD In the Matter of the Arbitration Between of Claimant Christopher J. Catalano 92-00590 Christopher J. Looney REPRBSKffi'ATlON For Claimant Christopher J. Catalano: Claimant appeared Pro Se. For Respondent Christopher J. Looney: Reaponent appeared Pro Se. THPQgMftTION Statement of Claim filed: February 18, 1992. Claimant's Submission Agreement signed on: February 14, 1992. Statement of Answer filed by Respondent, Christopher

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Susan L. Fitzsiinnons, Individually/ as Trustee for the Fitzsimnons Family Trust and as Adninistratrix of the Estate of Joseph T. Fitzsinnons, Jr. vs. PaineWebber, me. William Litby Case # 92-00582 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y.

N.A.S.D. AWARD NfcTICNAL ASSOCtSTICN OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Derrick A. Stoutamire 92-00577 Name of Raspr |nrl< 3in t5 Shearson T^frmri Brothers, IDC. Neil Kirk For Claimant Derrick A. Stoutamire ("Claimant") : Amy R- Goldson, Attorney at Law For Respondent Sbearson Lehman Brothers, Inc. ("Shearson") and Neil Kirk ("Kirk") : Charles R. Kills and ™*v** M. Gardner of the law fi

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00575 AWARD In the Matter of the Arbitration Between Ronald S. & Debra L. Anderson JT/WROS Claimants vs. PaineWebber, Inc. Christopher Leavy Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 18, 1992, Claimants Ronald S. & Debra L. Anderson who appeared Pro Se, alleged that in mid 1991 they were advis

NATIONAL ASSOCIATION-OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William R. Cox Claimant vs. Stratton Oakmont, Inc. Respondent CASE #92-00574 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 18, 1992, Claimant William R. Cox, through his counsel C. Richard Conant, Esq., Dallas, TX, alleged that Respondent Stratton Oakmont, Inc. through its broker, Howar

N.A.S.D. AWRTO ASSOCIATION OF SECORITIES DEALERS In the Matter of the Arbitration Between of Claimant (s) Dallas, Vickie *mA fyrrr*Tma Dudschus of Respondent (s) NASD Arbitration No. 92-00573 Button, Randal Lee Shipley For Claimant: Ralph R. Smith, Esq. , Ol^mpia, For Respondent; James P. Donahue, Esq., Miller, Hash, Wiener, Eager and Carl sen, Seattle, Washington Statement of Halm filed: February 18, 1992 Claimant's Submission A

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00572 AWARD In the Matter of the Arbitration Between J. Richard Hockert Claimant vs. Prudential-Bache Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, inc. on February 18, 1992, Claimant J. Richard Hockert, who appeared Pro Se, alleged that Respondent Prudential-Bache Securities, Inc. sent him fraudulent

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between David S. Cheslin and 01-01874 Southfield, Michigan McDonald Investments William R. Eastin, and David K. Green REPRESENTATION OF PARTIES David S. Cheslin ("Claimant") was represented by Lawrence E. Elkus, Esq., Lawrence M. Elkus, PLC, Farmington Hills, Michigan, and Stuart Berkowitz, Esq., Platke and Berkowitz, St. Louis, Missouri. McDonald Investments, ("McD

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Bruce Maxwell Dean Case No. 00-00772 Names of Respondents The Equitable Life Assurance Society of the United States Hubert Nail AXA Advisors, LLC REPRESENTATION OF PARTIES For Bruce Maxwell Dean ("Dean"), hereinafter referred to as "Claimant": Andrew Stoltmann, Esq. and Thomas Hargett, Esq, of Maddox Koeller Hargett & Caruso, Chicago, Illino