AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Clifford D. Bequette, Claimant and Counter-Respondent, and No. 95-05198 H.J. Meyers & Co., Inc., Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant, Clifford D. Bequette, was represented by Timothy M. McDaniel, Esquire of McDaniel & Allen, located in Houston, Texas. Respondent, H.J. Meyers & Co., Inc. was represented by Stephen C. V

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name ofJZlaimant Charles Appel 95-05196 Names of Respondents White Rock Partners & Company, Inc. f/k/a Rosenbaum Securities, Inc. and Harvey A. Rosenbaum REPRESENTATION For Claimant, Chailes Appel ("Mr. Appal"): Lee H. Schillinger, Esq. and John A. Brekka, Esq., of.the Law Office of Lee H. Schillingeiy P.A.vHotiywood, Florida. f Res

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between \ Name of Claimant Louis G. Maroun 95-05189 Name of Respondent Prudential Securities Inc REPRESENTATION For Claimant Louis G. Maroun ("claimant") appeared Peter D'Amico, Esq., of the law offices D'Amico & Litwin located in Providence, Rhode Island. For Respondent Prudential Securities, Inc. ("respondent") appeared David Glotzer, Esq.

NOV. 30. 1998 10: 56AM NflSD REGULATION FL NO.786 P.6 NASD REGULATION, INC. AWARD XASD Regulation, Inc., Office of Dispute Resolution In tii& Matter of the Arbitration Between Name, (gf Claimant Barbara B. Burnett-Keaton 95-Q51SS IVgmaa of Respondents Interstate/Johnson Lane Corporation O. Thomas Powell, Jr. REPRESENTATION For Claimant: J. Leo Federman, President, CEO, Investors Rights Association, Inc. For Respondent Interstate/John

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant L. Scott McKenry Trust v. Arbitration No. 95-05164 Name of Respondent Cartwright & Walker Securities, Corp., Emmett A. Larkin Company, Inc., E. Scoville Walker and Alex V. Gincherman REPRESENTATION For Claimant: Jonathan W. Evans, Esq. Jonathan W. Evans & Associates Los Angeles, California For Respondent Emmett A. M

AWARD NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of Arbitration Between N. Peter Schenk, Claimant, and No. 95-05153 PaineWebber Incorporated Respondent. REPRESENTATION OF PARTIES For Claimant: N. Peter Schenk ("Schenk") was represented by Alexander T. Moore, Esq. of Edward T. Joyce & Associates, P.C., located in Chicago, Illinois. For Respondent: PaineWebber Incorporated ("PaineWebber") was represented by L. Andrew Breh

STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant George Breu and Case Number: 95-05134 Name of Respondents Stratton Oakmont, Inc., Kerry S. Brecker, and Howard S. Gelfand REPRESENTATION OF PARTIES Claimant George Breu ("Claimant") was represented by Paul R. Erickson, Esq. and Colleen M. Fleming, Esq. of Gutglass, Erickson & Bonville located in Milwaukee, Wiscons

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-01091 Joan Davidow-Sneed, Claimant vs. Paul Antis, Respondent. ATTORNEYS: Claimant, Joan Davidow-Sneed, appeared Pro Se, Pittsburgh, PA. For Respondent, Paul Antis, appeared Gabriel Loubier, Senior Vice President, Prudential Inc., New York, NY. DATE FILED: March 05, 2001 CASE SUMMARY: Claimant alleged that respondent was negligent in the management of her account. Claimant furt

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Aliaa Boyne Case No. 00-00699 Names of Respondents Barron Chase Securities, Inc. Michael S. Bellina Shawn M. Meaney REPRESENTATION OF PARTIES For Allan Boyne ("Boyne"), hereinafter referred to as "Claimant": Alan Foxinan, Esq., Raton, Florida. :.; n *£qf Bajron Chase Securities, Inc. ("Barron Chase**): Eugene Michael Kennedy'; i '

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Delores Levitan, Levitan Family Trust and Steven E. Levitan v. Name of Respondents RAF Financial Corporation and Robert F. Blake NASD Arbitration No. 95-05131 REPRESENTATION For Claimant: For Respondents: Statement of Claim filed: Leonard Steiner, Esq. Steiner & Libo Beverly Hills, California Russ