N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John P. Persons 96-00520 Name of Respondent Smith Barney Shearson, Inc. REPRESENTATION For Claimant John P. Persons ("claimant") appeared Andrew D. Schau, Esq. of Patterson, Bel knap, Webb & Tyler, New York, New York. For Respondent Smith Barney Shearson, Inc. ("respondent") appeared Marion S. Chan, Esq.. Smith Barney Shear

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John A. Haug 96-00519 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 5, 1996, Claimant John A. Haug ("Claimant"), who appeared Pro Se, alleged that Respondent Dean Witter Reynolds Inc. ("Respondent") failed to timely execute a sell

AWARD V NASD REGULATION. INC..OFFICE OFDISPUTE RESOLUTION In the matter of the Arbitration Between Najne of Claimant James W. McDonald, DDS v. Arbitration No. 96-00506 Name of Respondents Titan/Value Equities Group, Inc., Frank Lloyd King, Philip Brace Anderson, Robert H. Osur REPRESENTATION For Claimant J. Leo Federman Investors Rights Association, Inc. Santa Barbara, California For Respondents: G. Thomas Fleming, III, Esq.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Ethel Hyman Schnitt Claimant, v. No, 96-00505 Merrill Lynch, Pierce, Fenner & Smith, Inc., and John O. White, Respondents. REPRESENTATION OF PARTIES Claimant Ethel Hyman Schnitt ("Claimant") was represented by Louis L. Plotkin, Esq. of Gertler, Gertler, Vincent & Plotkin located in New Orleans, Louisiana. Respondents Merrill Lynch, Pierce, F

03/07/1999 14:15 201714738*1 EICHARD DEVITA NASD REGULATION, INC. AWARD OCT1CE OF DISPUTE RESOLUTION In the Matter of die Arbitration Between Name Shirley Levinc 96-00504 Smith Barney Inc. Joseph Marc B]um*mhai REPRESENTATION For Claimant Shirley Uvine, ("claimant") appeared Richard D. DeVita, Esq., Hobokcn, New Jersey. For Respondent Joseph Marc BlumenrtaJ ("Bluraenthal") appeared Michael F. Bachner, Esq., New York, New York, Blumembal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. 96-00499 Name of Respondent David M. Moore REPRESENTATION For Claimant, Dean Witter Reynolds, Inc. "(DWR"): Michael S. Taaffe, Esq., of Abel, Band, ' Russell, Collier et al., Sarasota, Florida. For Respondent, David M. Moore ("Moore"): pro se (see "Other Issues") CASE INFORMATION Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimants Frank Muccia v. Name of Respondents BA Investment Services, Inc. and ITT Hartford/Putnam Investments NASD Arbitration No. 96-00493 REPRESENTATION For Claimant: Frank Muccia , in pro per For Respondents: Michael B. Tannatt Bank Of America N.T. & S.A. Los Angeles, California David S. Pickett, Esq. ITT H

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. 96-00491 Name of Respondent John A. Stock Claimant Dean Witter Reynolds, Inc. ("Claimant") was represented by Marc S. Wenger, Esq., Jackson, Lewis, Schnitzler & Krupman, Woodbury, NY. Respondent John A. Stock ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim was f

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants James and Colleen Burl 96-00488 Name of Respondents Josephthal Lyon & Ross Inc. Dean Lobrutto Michael Riorden Mathews, Holmquist & Assoc. REPRESENTATION For claimants James and Colleen Burt ("claimants") appeared their representative Philip Raible, Esq. of the law firm Squadron, Ellenoff, P

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Frank F. Goodman individual/IRA Frank F. Goodman as Trustee for Tappins Employees' Profit Sharing Trust Fund 96-00486 Name of Respondents First Institutional Securities, LLC Alan Irwin Cohen REPRESENTATION Claimant Frank F. Goodman ("Goodman") appeared Pro Se. For respondents First Instituti