NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ©National Association Of Securities Dealers, Inc. Names of Claimants All Rights Reserved Edward J. and Cora S. Kaffenberger and Case Number 95-03042 Names of Respondents Lehman Brothers, Inc., Harold Green and Doran Young REPRESENTATION OF PARTIES Edward J. and Cora S. Kaffenberger ("Claimants") were represented by Steven Shults, Esq. of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Charles and Maryann Ammon 95-03041 Name of Respondents L.C. Wegard&Co., Inc. Lawrence Weil CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 22, 1995, Claimants Charles and Maryann Ammon, through their representative, Roger E. Grimaldi, Esq. of Grimaldi, Haley & Frangiosa, P.C.

ozo N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank P. Anzeliotti 9503039 & National Association of Securities Dealers, toe. David Berger Eric Peremen AHD-U T> „ T ., All Rights Reserved Ron Liter Christian Rizzo Martin Burke REPRESENTATION Claimant Frank P. Anzeliotti ("claimant") appeared pro se. Respondent David Berger ("Berger") appe

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Anthony & Rita LaPreste 95-03032 Name of Respondents Janney Montgomery Scott, Inc. Mitchell DiClaudio REPRESENTATION Martin G. Rubenstein, Esq., Levy, Angstreich, Finney, Baldante, Mann & Burkett, Philadelphia, PA appeared on behalf of Claimants Anthony and Rita LaPreste ("Claimants"). Anthony D

M.A.g.D. AMARD NATIONAL ASSOCIATION OF SECDT?TTTRB DEAT.ER5 . TMr In the matter of the Arbitration Between Name of Claimantfg) Erik K. Szeto Yuen Fai Chan /"l' © National Association ot Securities Dealers, inc. AHRightsReserved NASD Arbitration No. 95-03028 Name of Respondent, (s) Richard Sands Brothers & Co., Ltd. pEgRBSSNTATION For Claimants: Michael J. Francis, Esq. and William H. Caffee, Esq., Dunn, Carney, Allen,

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. v. Name of Respondent William J. Gordica REPRESENTATION For Claimant: Arbitration No. 95-03027 For Respondent: Terry Ross, Esq. and Linda A. Loftus, Esq. Keesal, Young & Logan Long Beach, California H. Thomas Fehn, Esq. and Gregory J. Sherwin, Esq. Fields, Fehn & Sherw

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f _ -, - £ National Association of Name of Claimant Sccurilies ^^ Inc. Oscar Ortega Perez and Jose Antonio Ortega Perez All Rights Reserved and NASD CASE NUMBER 95-03023 Name of Respondent Smith Barney, Inc. REPRESENTATION OF PARTIES Claimants, Oscar Ortega Perez and Jose Antonio Ortega Perez, were represented by Ross Spence, Esq. o

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Silvia M. Bell Name of Respondents A.G. Edwards & Sons, Inc. Harry H. Dietrich 95-03011 REPRESENTATION For Claimant Silvia M. Bell ("Claimant"): Janet K. DeCosta, Esq. of the Law Offices of Janet K. DeCosta, P.C., Washington, D.C. For Respondents A.G. Edwards & Sons, Inc. ("Edwards") and Harry H. Dietrich

FINAL ORDER NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Sarah A. Flick, Claimant, and No. 95-02963 First of Michigan Corporation and Thomas C. Oakes, Respondents. REPRESENTATION OF PARTIES Claimant Sarah A. Flick ("Claimant") did not appear at the hearing and was unrepresented. Claimant was previously represented by James A. Zitsman, Esq. of Columbus, Ohio, Robert Karoly of Securities Arbitrati

STIPULATED AWARD NASD In the Matter of the Arbitration Between Names of Claimants Case Number: 01-00987 Debra Kelly Elliott and Timothy W. Elliott Names of Respondents Hearing Site: Memphis. TN Wade Nolan Giddens Legacy Securities Corp, REPRESENTATION OF PARTIES For Debra Kelly Elliott and Timothy W. Elliott ("Elliott"), hereinafter collectively referred to as "Claimants": Fred M. Acuff, Jr., Esq., Humphreys Dunlap Wellford Acuff & Stanton,