N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Glen R. Breach 95-04931 "= N*ionri Association of -Swjruies Uc;i;'-t"s. inc. Smith Barney Inc. Roger Vlach CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 18, 1995jtGIaimant- Glen R. Breach ("Claimant"), who appeared Pro Se, alleged that Respondent Smith Barney Shearson,

BY: 11-17-98 ; 9:23AM ;NASD ARBITRATION DPT^ 12122G85165;# 2/19 AWARD NASD REGULATION. INC., OPFirK OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Glen Shannon, IRA v. Arbitration No. 95-04928 Name of Respondent Titan Value Equities Group, Inc. REPRESENTATION OF PARTIES Glen Shannon, TRA ("Claimant") was represented by J Leo Federrnan, JLF Associates, San Diego, California. Titan Value Equities Gr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01077 Ivan Steinhardt, claimant vs. James L. Stoneham and J.W. Barclay & Co., Inc. respondents. ATTORNEYS: For Claimant appeared Robert H. Weiss, Esq., Jericho, NY. Respondent James L. Stoneham appeared Pro Se, New York, NY. For Respondent J. W. Barclay & Co., Inc. appeared Charles Lake, compliance officer, Northport, NY. DATE FILED: March 5, 2001 CASE SUMMARY: Claimant alleged

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Asian Atri and Julieta Atri, Claimants, v. Case Number 95-04924 Shearson Lehman Hutton, Inc. (a/k/a Shearson Lehman Brothers, Inc. and n/k/a Smith Barney, Inc.), and Richard J. Settle, Respondents. REPRESENTATION OF PARTIES Claimants Asian Atri and Julieta Atri were represented by Maria Estella Perez, Esquire, Sole Practitioner, of Brown

NtA.StP. AWARD ' ' LN ', ' ° c ^^ Association of Securities 1 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between All Rights Reserved fe of C!laiman1-(s) Sohail Masood NASD Arbitration No. 95-0492.2 Name of Respondent: is] Prudential Securities Incorporated REPRESENTATION For Claimant: Mitchell E. Hornecker, Esq., Schwabe, Williamson..*. Wyatt/ :P.Cv, Portland/ Oregon' -- ; ;

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant RECEIVED MAR 0 7 1997 ttSD-MUTIATIOH MEDIATION RandellB. Hill MAR 1 0 199 v. NASD Regulation, Inc. Office of Dispute Resolution Arbitration No.95-04921 Name of Respondents T.R. Winston & Co., Inc., and Jeff Kahn REPRESENTATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John J. Kelley Award No. vs. 95-04919 Name of Respondents Barren Chase Securities George Klepacki REPRESENTATION For Claimant, John Keiley ("Claimant"), Frank Liberty, Esq. from the law firm of Greenberg and Parenteau, located in New London, Massachusetts. For Respondent, Barron Chase Securities, Inc. ("Ban-on Chase") E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ira N, & Lois Weinstein Morris & Edith Weinstein Edith Weinstein C/F Joshua Z. Weinstein Edith Weinstein C/F Michael J. Weinstein Edith Weinstein C/F Nola B. Weinstein Edith Weinstein C/F Melanie Z. Weinstein 95-04914 Name of Respondents Prudential Securities Inc Robert Klein REPRESENTATION For Claimants Ira N.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Koonce Securities Inc. 95-04907 Name of Respondent Charles C. Maxwell CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 17, 1995, Claimant Koonce Securities, Inc. ("Claimant"), through its representative, Calvin S. Koonce, of Bethesda, MD., alleged that Respondent Charles C. Maxw

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Scott McNairy, Claimant, v. No. 95-04905 Morison Securities, Inc., Alfred Joseph Rashid, Strommen & Associates, Strommen Financial Group, and Swenson Anderson Associates, Inc. Respondent. REPRESENTATION OF PARTIES Claimant Scott McNairy was represented by Rebecca E. Bender, Esquire of Minneapolis, Minnesota. Respondents Morison Secur