Award NASD Dispute Resolution In the Matter of the Arbitration Between: Devon Investment Advisors, Inc. and Devon Management & Consulting, Inc., Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Fredrick S. Berger, Stifel, Nicolaus & Co., Incorporated, Hardfen, Imhoff Inc., Smith, Benton & Hughes, Inc., and Neidiger, Tucker, Bruner, Inc., Respondents Case Number: 01-01030 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer

Award NASD Dispute Resolution, inc. In the Matter of the Arbitration Between: Dinesh Mehta and Ragini Mehta v. Salomon Smith Barney, Inc., Chuck Andler, and Lewis Walterhouse Case Number: 00-683 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimants, Dinesh Mehta and Ragini Mehta, hereinafter collectively referred to as "Claimants": Joe! H. Kaufman, Esq., Farmington Hills, Michigan. Respondents, Salomon Smith Barney, inc., ("SSB") Ch

In the Matter of the Arbitration Between Name of Claimant Mary Vasilakou 95-03366 Name of Respondents Manny Feit Kenneth Marsh Marsh, Block & Co. Alfred Block REPRESENTATION For claimant Mary Vasilakou ("claimant 11 ) appeared Joan M. Markey, Esq., with law offices located in New York, New York. Respondents Marsh Block & Co., Inc. ("Marsh Block"), Kenneth L. Marsh ("Marsh") and Alfred Block ("Block") were represented by Ronal

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Harold R. Barren tine Kaye V. Barrentine Burton B. Barmore, III Case No. vs. 95-03365 Names of Respondents Interstate/Johnson Lane George F. Claussen, III REPRESENTATION For Claimants Harold R. Barrentine ("H. Barrentine"), Kaye V. Barrentine ("K. Barrentine"), and Burton B. Barmore, III {"Barmore"), hereinafter collectively referred to as "Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elaine T. Kolodny 95-03357 Name of Respondents Olde Discount Corporation Kimble Pierce Hardman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 13, 1995, Claimant Elaine T. Kolodny ("Claimant"), who appeared Pro Se, alleged that Respondents Olde Discount Corporation ("Olde") an

N.A.S.D. AWARD ' '' '-'^ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-03344 Name of Respondents v * " A Association o: Securities Dealers, h< .: Tiber J. & Gerda Somers All Rights Reservet REPRESENTATION Claimant PaineWebber, Inc. ("Claimant") was represented by James P. Flynn, Hannoch Weisman. Roseland, NJ. Respondents Tibor J. Somers (aka Te

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Christina L. Pan 95-03339 Name of Respondent Global Equities Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 12, 1995, Claimant Christina L. Pan ("Claimant"), who appeared Pro Se, alleged that Respondent Global Equities Group, Inc. ("Respondent"), through an unknown re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants George D. and Jane T. Reilly 9503328 ® National AJKJV.-..- f Name of Respondent Securities Dealers, l nc Alan R. Leist Planning Group, Inc. AH n- , 6 " AUR^gta. Reserverf REF'RESENTATION The Claimants appeared Pro Se. For Respondent appeared Alan R. Leist of Alan R. Leist Planning Group, Inc., Utica, New Yo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Adrianna, Frank, and Marina Ferrante Name of Resnondents First Albany Corporation Securirn^ 0cj " atj o:> c Helen Hoffman e ' s Deaie ^, i»j~ Murphy Favre, Inc. Dollar Dry Dock Investment Services, Inc " ' *"£fci$ -(-Northeast Brokerage Services Corp. First Albany Companies NASD Case No.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark Taft 95-03320 Name of Respondent L.C. Wegard & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 11, 1995, Claimant Mark Taft, who appeared Pro 5e, alleged that Respondent L.C. Wegard & Co., Inc. ("Respondent"), sold him 1,000 shares of PDK Labs, Inc. ("PDK") and that