N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James & Patrice McDuff 96-00620 TAJ Global Equities, Inc. David L. Muir REPRESENTATION For Claimants: The Claimants appeared pro se. For Respondent TAJ Global Equities Inc.: Wilbur J. Jurdine, Managing Director at TAJ Global Equities, Inc. The Respondent David Muir submitted a Statement of Answer on his own behalf but did

AWARB NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Merrill Lynch, Pierce, Fenner & Smith, Inc. Claimant, and No. 96-00613 Charles F. Murry, Respondent, REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. was represented in pleadings by Stephen N. Gretchyn and at the hearing by George Dembski, Esquire, and Andrew Quizley, all of which are with Merrill Lynch, Pierce Fenn

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Timothy J. Mahan and Ursula M. Mahan. Claimants, and No. 96-00612 Dean Witter Reynolds. Inc. and David S. Rossman, Respondents, REPRESENTATION OF PARTIES For Claimants: Timothy J. Mahan and Ursula M. Mahan (the "Mahans") were represented by James J. Moylan, Esq., of Arnstein & Lehr, located in Chicago, Illinois. For Respondents: Dean Witter Reyn

Award NASD Dispute Resolution, luc. In the Matter of the Arbitration Between Names of Claimants Dewey L. Kessler, Jr. Individually, and as Personal Representative for the Estate of Robert J. Pearson Kathleen K. Cook Keith K. Kessler Kerri L. Kessler Sheila P, Comstock Case No. 01-01136 Names of Respondents Edward D. Jones & Co. Jonni J. Post Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Claimants Dewey L.

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Marcia Sandusky, successor in interest to Richard D. Wood v. Arbitration No. 96-00608 Name of Respondent Merchant Banking Services, Jan Sanders, Lance Van Alstyne, Victor Chu, Jeffrey A. Rieger, Steven Hardage, Laticia Johnson, Timothy Stiller REPRESENTATION For Claimant: Mathew Stephenson, Esq. Kochan & Stephenson

Inc. In the Matter of the Ai oitration Betwcec. Names of Claimants Barbara J. Speenburgh, Individually au£ as Trustee of the Barbara I. Speentegh Trust 96-00607 Names of Respondents Great American Financial Network, inc. f'k/a: Marina Securities, Inc. Victor Verola REPRESENTATION For Claimant Barbara I Speenbiagili, IneivmMy and as Trustee of the Barbara Speenburgh Trust ("Claimant"); Mark S. Gurdinick, 2sw.. Deerfield Beach, Florida.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 96-00078 Name of Respondent LaMarde Monroe CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1996, Claimant GKN Securities Corp. ("GKN"), through its representative and in-house counsel, Katharine Nathan, Esq., alleged that upon termination of his employme

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 96-00077 Name of Respondent Richard Martin REPRESENTATION For Claimant GKN Securities Corporation appeared Katherine Nathan, Esq. in-house counsel, located in New York, New York. Respondent Richard Martin appeared pro se. CASE INFORMATION The Statement of Claim was filed on January 5, 1996. Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph Mack and Carolyn Trahan 96-00076 Name of Respondents M. Rimson & Co., Inc. Alex Shindman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1996, Claimants Joseph Mack and Carolyn Trahan ("J. Mack"), who appeared Pro Se, alleged that Respondent M. Rimson & Co., Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp, 96-00074 Name of Respondent Robert Wenger CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on January 5, 1996, Claimant GKN Securities Corp. ("GKN"), through its representative and in-house counsel, Katherine Nathan, Esq., alleged that upon termination of his employment