r N.A.S.P. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Joseph & Ella Laquita Fernandas Name of Respondents Lazar Frederick & Company and Mare Van Sickler NASD Arbitration No.96-00729 REPRESENTATION For Claimants: For Respondent Lazar Frederick & Company: For Respondent Mare Van Sickler: Joseph and Ella Fernandez, in pro per No appearance Andrew M. Zange

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01150 First Union Securities, Inc., claimant vs. Michael R. Miller, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Renan I. Sugarman, Esq., Chicago, IL. For Respondent appeared Stephen M. Reinsel, Esq. of the firm Santoro & Reinsel, LLC, Pittsburgh, PA. DATE FILED: March 8, 2001 CASE SUMMARY: Claimant alleged respondent failed to re-pay them for an overdraw deficit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [a the Matter of the Arbitration Between Name of Claimant Glenn B. Crane 96-00728 Name nfjjespondents Merrill Lynch Pierce Fenner & Smith Inc Douglas C. Horn CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 20, 1996, claimant Glenn B. Crane ("claimant 11 ), who appeared Pro Se, alleged that respondents Douglas C. Horn ("Horn")

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Thomas Jones, Claimant, and No. 96-00725 Foresters Equity Services Inc. Respondent. REPRESENTATION OF PARTIES For Claimant: Thomas Jones ("Jones") was represented by Steven J. Rotunno, Esq. of Kubasiak Cremieux Fylstra Reizen & Rotun, located in Chicago, Illinois. * For Respondent: Foresters Equity Services Incorporated ("Foresters Equity") was repr

N.A.S.IX AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Peter P and Mary D. Lodiee 96-00723 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 20, 1996, Claimants Peter P. and Mary D. Eodice ("Claimants"), who appeared Pro Se, alleged that Respondent Prudential Securities, Inc. (''Respondent"!, through its agent, Mr. John McEvoy. provided Claimants with unsuitable investment advice when he aggressively

IASD RhGri.ATEON, INC, AWARD 96-00720 Olde Discount Corporation Mark Morrow REPRESENTATION For Clahnanis Joseph J. KoriY i "Joseph KortT' 1 ) and Susan K. Korff ("Susan Korff") (coliectiveiy referred to as "Claimants") appeared Ro^er W. Van Deusen, Esq., of the law firm Chattman, Gaines & Stern, located in Cleveland., Ohio For Respondents Olde Discount Corporation ("Olde") and Mark Morrow ("Morrow") (collectively referred to as "Respondents"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name pf Claimants) Charles F. Winter 96-00719 A.S. Goldmen & Company, Inc. REPRESENTATION For Claimant Charles F. Winter ("Winter")' Michael S. Winter, Esq. of the law office of Michael S. Winter, Milwaukee, WI. For Respondent A.S. Goldmen & Co., Inc. ("A.S. Goldmen"): Carole R. Bernstein, Esq. of the law office of Carole R, Bernstein, Esq., No

N.A S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Nader R. & Fatin Llhajj 96-00718 Name of Respondents Lew Lieberbaum &. Co.. Ine. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 16, 1996, Nader R. and Fatin Flhajj ("Claimants"), who appeared Pro Se, alleged that Respondent Lew Lieberbaum & Co., Inc. (''Lieberbaum'') gave th

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Myron J. Coplan, Claimant, v. No. 96-00717 A.G. Edwards £ Sons, Inc., and Robert M. Derks, Respondents. REPRESENTATION OF PARTIES Claimant Myron J. Coplan ("Claimant") was represented by Dale J. Coplan, Esq. of Burg £ Eldredge, P.C, located in Denver, Colorado. Respondents A.G. Edwards & Sons, Inc. ("AGE") and Robert M, Derks ("Derks") (coll

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Thomas J. and Harriet McKenzie 96-00716 Name of Respondents PNC Brokerage Corp. Jeffrey Gray REPRESENTATION Claimants Thomas J. and Harriet McKenzie ("Claimants") were represented by Robert A. Weinheimer, Esq., Pittsburgh, PA. Respondents PNC Brokerage Corp. ("PNC") and Jeffrey Gray ("Gray") were repr