NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lawrence D. Bain, Claimant v. No. 95-04565 Dean Witter Reynolds, Inc., @ National AMOCiado|l of George Fraser, and Securities Dealers, Inc. Lawrence Gutsch, Respondents. All Rights Reserved REPRESENTATION OF PARTIES Lawrence D. Bain ("Claimant") was represented by Jesse B. Simpson, Esq., of Lewis & Roca, 'Phoenix, Arizona. : ; ; ivv n

N .A.S.D. AWAKD J/fc- ^08335 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charlotte Vollmer, as Trustee for L&R Construction Company, Inc. Pension Fund 95-04562 Name of Respondents © National Association of Raymond, James & Associates, Inc. Securities Dealers, Inc. Robert Thomas Securities, Inc. Amur S. Burchinow All Rights Reserved REPRESENTATION Claimant Charlotte Vollmer,

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Russell H. Ruhl 95-04559 of Respondents Trimark Securities, Inc.; Trimark Securities, L.P.; Roundtable Partners, Inc.; Knight Securities, L.P.; Robert Lazarowitz; and Steven Steinman REPRESENTATION For Claimant: Russell H. Ruhl ("Ruhl") was represented by Peter B. Shaeffer, Esq. of Chicago, Illinois. For Respond

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Winifred A. Balfanz and 95-04557 Name of Respondent Norwest Investment Services, Inc. David Behler Bruce G. Warner ' ; •' : ---.^r\:w: REPRESENTATION OF PARTIES Winifred A. Balfanz ("Claimant") was represented by Paul G.vBursiek, Esq., Pendleton. Friedberg^< • Wilson, Hennessey & Meyer, P.C., Denver, CO. r r •

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Pramod Chandra 95-04550 Name of Respondent Alaron Securities Corp. REPRESENTATION For Claimant Pramod Chandra ("Chandra"): Stuart S. Mermelstein, Esq. of Quarles & Brady, West Palm Beach, Florida. For Respondent Alaron Securities Corp. ("Alaron"): Jeffrey M. Isaacson, Esq. of Weinstein and Bacci Ltd., North Riverside, Illin

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Incorporated and Name of Respondent Alex Montez. Jr. V Natnhi&l Association or Securities Dealr- -c. AU Rights Reserved Case Number 95-04546 REPRESENTATION OF PARTIES ' ' - Caimant") W£S ". ' ; ..,.'. ./_. ;,;-,:- • ; - - - r ; r

NASD Regulation, IDC. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant American Contract Bridge League, Inc. vs. 95-04545 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Matthew T. Guagliardo, Bank One, Columbus, N.A. and Name of Third Party Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. : Name of Third Patty Respondent^: .;. .u^y 1^, America

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between - —- Henry L. Nadler, MD, and Benita Nadler, Claimants, v. No. 95-04544 Michael E. Dockendorf, and Kidder, Peabody & Co., Incorporated, Respondents. REPRESENTATION OF PARTIES Henry L. Nadler, MD, and Benita Nadler ("Claimants") were represented by John R. Callahan, Esq., Scpttsdale, Arizona. . t uou^bic, Michael E. Dockendorf

-A. N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS © National Association of Securities Dealers, Inc. In the Matter of the Arbitration Between Name of Claimant^ All Rights Reserved William E. Ohland 95-04535 Name of Respondents) B.C. Ziegler & Company CASE SUMMARY [n a claim filed with the National Association of Securities Dealers, Inc. on September Claimant William E. Ohland, who appeared Pro Se, alleged that on or about

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01055 State Street Securities, Inc., claimant vs. Marcus Ramos, respondent. ATTORNEYS: For Claimant appeared Lawrence S. Leibowitz, Esq., of the firm Wexler & Burkhart, P.C., Mitchel Field, NY. Respondent did not submit a response to the Statement of Claim. DATE FILED: March 2, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance in his customer