AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between John McKittrick, Claimant and Counter-Respondent, and No. 95-05274 HJ. Meyers & Co., Inc., Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant, John McKittrick, was represented by Bruce M. Daniel, Esquire of Daniel & Daniel, located in Houston, Texas. Respondent HJ. Meyers & Co., Inc., was represented by Stephen C. Voris, .Esquire of

N.A.S.D. REGULATION AWARD 1 NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Alfreda Catalano by POA/Dennis Catalano Name of Respondents Dean Witter Reynolds Inc. Eugene J. Pessecow Advantage Capital Corporation 95-05272 REPRESENTATION For Claimant Alfreda Catalano POA/Dennis Catalano ("claimant") appeared David Silverberg, Esq., of the law firm Silverberg, Yood, Sellers

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Devon Reiff 95-05270 Name of Respondents Alex Brown & Sons Incorporated Mark Branigan Robert Oram REPRESENTATION Claimant Devon Reiff ("Claimant") was represented by Kevin P. Conway, Esq., Conway & Conway, New York, NY. Respondent Alex Brown & Sons, Inc. ("Alex Brown") and Robert Oram ("Oram") were represented by Daniel J. Donovan, Esq., Alex Br

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Felicia Sager, Stuart Sager, and Judith Beroza, (Claimants) vs. Americorp Securities Inc. and Marc Wein, (Respondents) Case Number: 95-05268 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Felicia Sager, Stuart Sager, and Judith Beroza, hereinafter collectively referred to as "Claimants": Richard Hendler, Esq., New York, New York. Respondent, Ameri

; , . N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph P. Smith and Lorraine Durnane 95-05265 Name of Respondent J.B Oxford & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 7, 1995, claimants Joseph P. Smith and Lorraine Durnane ("claimants"), who appeared Pro Se, alleged that respondent J.B. Oxford & Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Maureen H. and Paul E. Belanger 95-05257 Name of Respondents Richard L. Sullivan and Matthew Lipman REPRESENTATION Claimant Maureen H. Belanger and Paul E. Belanger appeared pro se. For Respondents, Richard Sullivan and Matthew Lipman, appeared Christopher Cavuoti, Esq., in-house counsel, Merrill Lynch, Pierce, Fenner, Smi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-01093 Ameritrade, Inc., claimant vs. Chun K. Lau, respondent. ATTORNEYS: For Claimant appeared James J. Vihstadt, Esq., Regulatory Manager, Bellevue, NE. Respondent appeared pro se, New York, NY. DATE FILED: March 5, 2001 CASE SUMMARY: Claimant alleged that respondent failed to deposit adequate funds or buy back securities sufficient to meet the minimum equity requirements in his account

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jackie R. and Nina F. Stewart 95-05250 Name of Respondents Gruntal & Co., Inc. Scott L. Mathis CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 6, 1995, Claimants Jackie R. and Nina F. Stewart ("Claimants"), who appeared Pro Se, alleged that Respondents, GruntaJ & Co., Inc

Arbitration & Mediation National Association of Securities Dealers, Inc. * NASD Financial Center * 33 Whitehall Street * New York, NY 10004 * Fax 212-858-4429 Washington DC Satellite office at: 1735 K Street, NW - 10th Floor * Washington, DC 20006 * Fax 202-728-6952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prime Charter, Ltd. 95-05236 Name of Respondent William A. Entwist

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Walter T. Daidis and 95-05221 Name of Respondent Stratton Oakmont, Inc. REPRESENTATION OF PITIES Walter T. Dardis ("Claimant") was represented by Otto K. Hilbert, n, Esq., Reinhart, Boemer, Van Deuren, Noiris & Rieselbach,, P.C., Denver^ Colorado. Stratton Oakmont., Itic. ("Respondent") was representedprior to the hearing conduc