N.A.S.D.J?5 r ULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Dean Witter Reynolds Inc. NASD Case No. 96-02818 Name of Respondent Mark A, Roberts REPRESENTATION For Claimant Dean Witter Reynolds, Inc. ("claimant") appeared James A. Vollins, Esq. of Nilmer & Bernes, Cleveland, Ohio. For Respondent Mark A. Roberts appeared Joseph J. Dehner, Esq., of counsel Frost & Jacobs, Ci

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In-the Matter of the Arbitration Between Name of Claimant Nancy B. Sherertz 96-02817 Name of Respondent Harvey F. Neustadt Investment Management & Research, Inc. Raymond James & Associates, Inc. REPRESENTATION Claimant Nancy B. Sheretz ("Claimant") was represented by Gregory M. Miller, Esq., Shapiro and Olander, Baltimore, MD. Respondent Investment

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Bill Mauro and Judith Ann Mauro JTWROS 96-02811 Names of Respondents Nationwide Securities Corp. Michael Pardini David Lavender Lou Rigatoni Lou Pasciuto REPRESENTATION The Claimants Bill and Judith Ann Mauro ("the Mauros") appeared pro se. For Respondent Nationwide Securities Corp. ("Nationwide"): Jonatha

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Deibert R. Woodin, and Hazel L. Woodin, Claimants, vs. No. 96-02809 Prudential Securities, Inc.. Michael K. Self, and Robert Bryan, Respondents. REPRESENTATION OF PARTIES Deibert R. Woodin and Hazel L. Woodin ("Claimants") were represented by Michael Salcido; Esq., Phoenix, Arizona. p ^": Prudential Securities, Inc. ("PSI"),

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William Jaseph 96-02802 Name of Respondent Gruntal & Co., Inc. Brock A. Malky REPRESENTATION Claimant William Jaseph ("Claimant") was represented by John P. Connolly, Esq., Alexandria, VA 22314. Respondent Gruntal & Co., Inc. ("Gruntal") was represented by Emilia M, DeMeo, Esq., Gruntal & Co., Inc., New York, NY

N.A.S.D. REGULATION ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Ernestine P. Young 96-02801 ORDER OF DISMISSAL Name of Respondent Edward D. Jones & Co. REPRESENTATION For Claimant Ernestine P. Young: Claimant appeared pro se. For Respondent Edward D. Jones & Co.: Lisa A. Nielsen, Esq., Greensfelder, Hemker & Gale, St. Louis, MO. , CASE INFORMATION Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas R. Clements 96-02797 Name of Respondent Piper Jaffray Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 28, 1996, claimant Thomas R. Clements ("claimant"), who appeared Pro Se, alleged that respondent Piper Jaffray, Inc. sold him an investment to his detriment. Claimant

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant Claude R. Breese 96-02796 Name of Respondent Investors Associates, Inc CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on June 28, 1996, claimant Claude R. Breese ("claimant") who appeared Pro Se, alleged that respondent Investor:; Associates Incorporated ("Investors") fraudulently represented that he had purchased 2,000 shares

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fui-Lai Lai, Hsieh-Chiao Lai, Kent M. Lai, and Jim M. Lai, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Evan Fuwen Ling, and Jessica Huang Wong, Respondents Case Number: 00-05094 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Douglas J. Rovens, Esq. Rovens, Lamb & Gase LLP Los Angeles, California For Respondents: Stan Blumenfeld,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Tom Friendly 96-02795 Name of Respondent Investors Associates, Inc. f/k/a Vision Investment Group REPRESENTATION For claimant Tom Friendly ("claimant") appeared his representative Joel C. Seltzer, Esq., a sole practitioner located in Union, New Jersey. Respondent Investor Associates, Inc. did not app