NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01035 Gene Wm. Gonia and Sandra Hammond Gonia, claimants vs. A.G. Edwards and Sons, Inc. and Brian Harris, respondents. ATTORNEYS: For Claimants appeared Robert Carney, DR, La Crosse, WI. For Respondents appeared Clay L. Grumke, Esq., in-house counsel, St. Louis, MO. DATE FILED: March 1, 2001 CASE SUMMARY: Claimant alleged that respondents advised them to purchase stock that was

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 95-03404 Name of Respondents Scott Kliewe Robert Gladstone Mario Figueroa Gene Kingman REPRESENTATION For Claimant GKN Securities Corp. ("Claimant") appeared David S. Smith, Esq., of the law office Smith Campbell and Paduano located in New York, New York. Respondent Scott Kliewe appeared pro se. For Third-Party Respondent Ro

NASDR AWARD U NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATIONS. INC. In the Matter of the Arbitration Between Michael Terrene e Raines Sylvia Stofleth-Raines Claimants NASDR Arbitration v. No. 95-03399 Cohig & Associates. Inc. Investments ^ M . , 4 . . . T , C National Awoctatnr r' Larry Isen Securities Deal- - Barry Parish Respondents All Rights Reserved REPRESENTATION OF E S Michael Terrence Raines and

U AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant^ Robert A. Pallmer v. Arbitration No. 95-03393 Name of Respondent^ La Jolla Securities Corporation Thomas A. Carey REPRESENTATION For Claimant: Dennis w. Hartley, Esq., Colorado Springs, Colorado. For Respondent La Jolla Securities: Craig M. Biddick, La Jolla Securities Corporation, La Jolla, California For Re

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Nellie Long and 95-03388 Name of Respondent Josephthal, Lyon & Ross, Inc. REPRESENTATION OF PARTIES Neilie Long ("Claimant") was represented by Earnie Banzhof, her brother-in-law. Josephthal, Lyon & Ross, Inc. ("Respondent") was represented by Robert E. Murphy, Esq. of Josephthal, Lyon & Ross, Inc. located in New York, NY.

N.A.S.D. AWARD NATIONAL" ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mountain Laundry Corporation Trust 95-03383 NameofResDondent Dean Witter Reynolds, Inc. CASK SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. oa Jury 14, 1995, Claimant,. Mountain Laundry Corporation Trust ("Claimant 1 *), through its representative, Paul W. Young, of Securities Arbitr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name, of Claimant Lemon L. Denzer 95-033S2 Name of Respondents Andrew Antonucci Vision Investments Group,. Inc. Northeast Securities, Inc. Matthew J. Beaulieu Korey K. Brown Paul L. Caruso CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 14, 1995, Claimant Lemon L. Denzer ("Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sam O. Tokun-Aga 95-03380 Name of Respondents Josephthal Lyon & Ross Inc. William Fauth CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 14, 1995, Claimant Sam O. Tokun-Aga ("Claimant"), through his representative, Brian K. Lowe, of Investors Arbitration Services, Inc., located

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ottilie Myhre 95-03370 Name of Respondents Prudential Securities, Inc. Pruco Securities Corporation Cecil G. McGavern Jim Ludwick CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 14, 1995 Claimant .Ottilie Myhre ("Claimant")* who appeared Pro Se, alleged that Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Claimantfs) Donald and Mary Dufour. 95-03369 Name of Respondent!^ First Montauk Securities, Inc. AT. Broad & Co., Inc. Sapperston Financial, Inc. John R. Van REPRESENTATION For Claimants Donald and Mary Dufbur appeared Michael J. McNeil, Esq. of the law firm of Iseman, Cunningham, Riester & Hyde located in Albany, New York.