NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 96-00079 Name of Respondent David Yorwerth REPRESENTATION For Claimant, GKN Securities Corp. ("Claimant"), appeared Katherine Nathan, Esq. of GKN Securities Corporation located in New York, New York. Respondent, David Yorwerth ("Yorwerth"), appeared pro-se. CASE INFORMATION Statement of Claim filed: Decembe

U -S; N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Aaron Franzblau Name of Respondents Alex Brown & Sons Incorporated Jeremy Foy S> National Association of Securities Dealer;, inc. —* 199* All Rights Reserved 95-04150 REPRESENTATION For Claimant: Barbara L. Wolf, P.A., Fort Lauderdale, FL and Arnold Y. Steinbttg^ofct Investors' Rights, Inc., Bo

AWARD National Association of Securities Dealers Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Owens Edge, Trustee of the C.A. O'Keefe, II, Trust "A," and Trustee of the C.A. O'Keefe, II, Trust "B," Claimants, v. No. 95-04140 Smith Barney, Inc., and David J. Abrahams, Respondent. REPRESENTATION OF PARTIES Claimants Owens Edge, Trustee of the C.A O'Keefe, II, Trust "A" and Trustee of the C.A. O'Keefe,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants John M. Pellas Dolores J. Pellas and NASD Case Number: 95-04133 Name of Respondents Prudential Securities, Inc. Rankin Revel Rawlings REPRESENTATION OF PARTIES Claimants John M Pellas and Dolores J. Pellas appeared pro se. "i r. un:~ r Respondents Prudential Securities, Inc. and Rankin Revel Rawlings were represented

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Benjamin and Else K. Jacobs, (Claimants) vs, TD Waterhouse Investor Services, Inc., (Respondent) Case Number: 00-05326 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Benjamin and Else K. Jacobs, hereinafter collectively referred to as "Claimants", appeared pro se. Respondent, TD Waterhouse Investor Services, Inc., hereinafter referred to as "R

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Michael Katz v. Name of Respondents Biltmore Securities, Inc., Howard Gostfrand, and Paul L. Burton Arbitration No. 95-04121 REPRESENTATION For Claimant: For Respondents: Deborah A. Klar, Esq. Miller & Holguin Los Angeles, California Peri Erlanger, Esq. Bernstein & Wasserman New York, New Yor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gilford Securities, Inc. 96-00482 Name of Respondent Cedric Petersen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February i, 1996, Claimant Gilford Securities, Inc. ("Claimant") through its representative, Larry Wachler, alleged that in August of 1994, Respondent Cedric Petersen ("

r i N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ruth E. Massingill Revocable Trust 96-00477 Name of Respondent Merrill, Lynch, Pierce, Fenner & Smith, Inc. Bradley J. Hopper Christopher J. Payson David R. McWilliams CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 1, 1996, Claimant Ruth E. Massingill as Trust

N.A.S.D.R. AWARD r NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Francis P. Finnegan, Jr. Ida Marie Finnegan vs. NASDR Arbitration No.96-00475 Name of Respondent REPRESENTATION For Claimant: Nancy Loo, Concord, California. For Respondent: Jeanne M. Chamberlin, Esq., Tonkon, Torp, Galen, Marmaduke & Booth, Portland, Oregon. CASE INFORMATION Statement of Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant First of Michigan Corporation 96-00459 Name of Respondent Frederick N. Andreae, Jr. CASE SUMMARY e In a claim filed with the National Association of Securities Dealer, Inc. on January 31, 1996. Claimant First of Michigan Corporation ("Claimant"), through its representative, Karl Nr Gellert, Esq., of the law firm of Miller,