N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of CIaimam(s> Conrad C. and Eileen A. De Leeuw 95-04040 \Iirrjg fir ^• i ^pi" >r iQC"r( ?i Keith E. Berenger Stratton Oakmont Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 22, 1995, Claimants' J •vYirh f Conrad C. and Eileen A. DeLeeuw, who appeared Pro Se, allege

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward F. Elordi 95-04035 Name of PesnondPnt James J. Crimi . ..*—: ::: - ! , --oiv > - , . : . CASE SUMMARY . - > , . . . .--. .., tn a claimTiled, witji^ the Naugniai ^Association of Securities Dealers, Inc. on August?, 1995g Claimant Edward F. Elordi ("Claimant"), who appeared

NASD Regulation, Inc. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Steven G. Milewicz 95-04033 Names of Respondents Ladenburg Thalman & Co. Inc. James Sletteland Harvey Morgan Jeffrey Lehman REPRESENTATION For Claimant Steven G. Milewicz ("Claimant") appeared Kenneth A. Lapatine of the firm Camhy Karlinsky & Stein, LLP, located in New York, New York. For Respondents Ladenburg, Thalman & C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ruby Garlic Name of Respondent Dougherty, Dawkins, Strand & Bigelow, Inc. 95-04031 REPRESENTATION For Claimant: Joel A. Goodman, Esq. of the law firm of Goodman & Nekvasil, -; • • .-.,., ••••'-' ^.^MC^p;^ Harbor, Florida. For Respondent: Joseph Anthony ,E^: r 6f^the'Iaw Minnesota. Harbor, Floitl , P'A.,

NASD REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John S. and Linda M. Ellis 95-04029 Merrill Lynch Pierce Fenner & Smith Inc Jack S. Richardson REPRESENTATION For Claimants John and Linda Ellis ("claimants") appeared Steve J. Gard, Esq., of the law firm Page & Bacek located in Atlanta, Georgia. For Respondents Merrill Lynch Pierce, Fenner & Smith, Inc. ("Merrill

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John G. Kinnard and Company, Inc. 95-04028 Name of Respondent Mark J, Linehan w ( REPRESENTATION Claimant, John G. Kinnard & Company, Inc. was represented by F. Chet Taylor, Esq. of John G. Kinnard & Company, Inc., Minneapolis, Minnesota. Respondent, Mark J. Linehan was represented by Conine D. Lynch, Esq. of Bloomi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Lee Ward and Lee Ward, representing Richard Ward NASD Arbitration No. 95-04022 Name of Respondent(si Jack Van Cleave Crowell, Weedon & Company REPRESENTATION For Claimants: G. Mark Brewer, Esq., La Jolla, California For Respondents: David M. Bartholomew, Esq., Keesal, Young & Logan, Long Beach, California

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven Pribis, Jr. 95-04021 Name__Qf Respondents Smith Barney Shearson, Inc. (n/k/a Smith Barney, Inc.) Gilbert R Hartman REPRESENTATION Claimant Steven Pribis, Jr. ("Claimant") appeared at the hearing pro se. Respondents Smith Barney Shearson, Inc. ("Smith Barney") and Gilbert F. Hartman ("Hartman") were represented

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tiamat, Inc., Claimant v. Charles Schwab & Co., Inc., Respondent Case Number: 00-05316 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: George C. Montgomery, Esq. Greenspan, Glasser & Rosson Culver City, California For Respondent: Curt H. Mueller, Esq. Charles Schwab & Co., Inc. San Francisco, California CASE INFORMATION Stateme

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant James L. Gensler Case No. 00-00538 Hearing Site: Milwaukee, Wisconsin N-3rn.fi nf T? p.snnndp-nt Barren Chase Securities, Inc.; and Craig Leszczak WF.PPF.Sy.MT A ° Claimant James L. Gensler ("Gensler") was represented by Mark Sanders, Esq., of the firm of Hailing & Cayo, S.C, located in Milwaukee, Wisconsin. Respondent Barron Chase Securitie