Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Peter Deavenport, Claimant v. Pamela S. Kelty and Beverly J. Kelsen, Respondents Case Number: 00-05315 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Peter Deavenport: Paul C. Deavenport, Esq. Fullington & Deavenport, LLP Ventura, California For Respondent Pamela S. Kelty: Neal S. Robb, Esq. Keesal, Young & Logan, PC Long Beach, Califo

NASD REGULATION, INC. AWARD In the Matter of thj Arbitration Between Name of Claimant Wayne H. Sapp 95-03522 Name of Respondents R.K, Steele Richard K. Steele, Sr. Michael McFarquhar REPRESENTATION For Claimant Wayne H. Sapp ("Claimant") appeared Martin L. Feinberg, Esq., a sole practitioner with law offices located in New York, New York. Respondent R.K. Steele ("R.K. Steele") did not enter an appearance in this matter. Responden

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Patricia A. Ruffolo and 95-03519 Name of Respondent Rothschild Global Investments, Inc. William C. Gerhauser William H. Gerhauser Lars Bredal REPRESENTATION OF PARTIES Patricia A, Ruffolo ("Claimant 11 ) was represented by Arne R. Rode, Esq., Chicago, Illinois. Rothschild Global Investments, Inc. ("Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC In the matter of the Arbitration Between Name of Claimant (s) Dean Witter Reynolds Inc Name of Respondent (s) Gregory L . Chilccte NASD Arbitration No. 95-03515 REPRESENTATION For Claimant: Ann C. Liburd, Esq., Burr, Pease & Kurtz, Anchorage, Alaska For Respondent: Gregory L. Chilcote, Anchorage, Alaska CASE INFORMATION Statement of Claim riled: July 10, 1995 Clai

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between The Ohio Company, Claimant and Counter-Respondent, and No. 95-03512 C. David Dickinson, Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant and Counter-Respondent The Ohio Company ("Claimant") was represented by Marion H. Little, Jr., Esquire and John W. Zeiger, Esquire of Zeiger & Carpenter located in Columbus, Ohio. Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Harriman Group, [nc. 95-03506 Name of Respondent David Scott Heredia REPRESENTATION For Claimant the Harriman Group, inc. ("claimant") appeared Leslie K. Case, Esq. -of Gersten, Savage,Kapiowitz & Curtsn, New York, New York. For Respondent David Heredia ("respondent") appeared James R. Leone, Esq. Aitamonte Springs, Flo

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Stephen Hydeck Jr. 95-03505 Name of Respondents J.B. Hanauer & Co. Chris Cooper For Claimant Stephen Hydeck, Jr. ("Claimant") appeared Matthew Farley of the firm Shanley & Fisher located in New York, New York. For Respondents J.B. Hanauer A Co, ("Hanauer") and Chris Cooper ("Cooper"), collectively referred to as "Respondents", appeared

N.A S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Thomas Satdi 95-03503 Name of Respondent John S. Detweiler CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 21, 1995, Claimant Thomas Saldi ("Claimant"), who appeared Pro Se, alleged that Respondent John S. Detweiler ("Respondent"), while employed by Wheat First Securities, improperly executed his instruction to sell 5.000 shares of AM Commun

NASD AWARD \ASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant First Allied Securities, Inc. 95-03500 Name of Respondents H.J. Meyers & Co., Inc. Marion Bass Securities Corporation Pinnacle Securities Craig R. Lodge Name of Third Party Respondent Josepthal Lyon & Ross REPRKSENTATIQN First Allied Seeuriiies, Inc. ("Claimant" or "First Allied") and Josepthal Lyon & Ross (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimants © National Association of Securities Dealers, Inc. All Rights Reserved Alan S. Levine, Holden Raphael Bonnie Raphael, Jason Vccchi, Jeff Cooley and Edward Edelberg Name oi Respondents Prudential Securities, Inc. and Rudy Commans NASD Arbitration No. 95-03495 REPRESENTATION For Claimant: For Respondent :