N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Securities Research, Inc. 95-01830 Name of Respondents Advest, Inc. Howard B. Joseph Thaddeus S. Cook Marc D. Aiken REPRESENTATION For Claimant, Securities Research, Inc. ("SRI"): Layne Verebay, Esq. of Freedman & Verebay, P.A., North Miami Beach, Florida. For Respondent, Advest Inc. ("Advest"): Barry Kronemer, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William F. Glase 95-01829 Scott Weinfeld National Financial Services Corporation Philip J. Hitman REPRESENTATION Claimant William F. Glase ("Claimant") was represented by Louis J. Ruch, Esq., Ruch & Gontram, Philadelphia, PA. Respondent National Financial Services Corporation ("NFSC") was represented by Matthew Farley, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ludwig Cserhat, (Claimant) vs. Investors' Advocate, LLC, Steven Maczka, and Jason Watkins, (Respondents) Case Number: 00-05085 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ludwig Cserhat, hereinafter referred to as "Claimant", appeared pro se. Respondent, Investors' Advocate, LLC ("IA"), Steven Maczka ("Maczka"), and Jason Watkins ("Watkins"), herei

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name t of Claimants Marilyn and William S. Stein & Stein Family Partnership 95-01828 of Resondents Washington Investment Corporation James Russel Johnson Richard Teal Barney Mark Burkhardt, and Robert Jack Rubel REPRESENTATION Morris J. Levin, Counsellor and Attorney at Law, Washington, D.C., represented Marily

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants J. Charles Collins, Jr. Freda Collins and NASD Case Number: 95-01819 Name of Respondents R. Jackson Little Merrill Lynch Pierce Fenner & Smith, Inc. REPRESENTATION OF PARTIES Claimants, J. Charles Collins, Jr. and Freda Collins were represented by James E. Stovail, Esq., Metairie, Louisiana. Respondents, R. Jackson L

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Steven D. Falke, Claimant, v. No. 95-01818 Dickenson & Co., Diane Welsh, Brian McVey, and Kelly Sutton. Respondents. REPRESENTATION OF PARTIES Steven D. Faike ("Claimant") was represented by Jane L. Stafford, Esq. of Watson and Marshall, Kansas City, Missouri. Dickenson & Co, Diane Welsh, Brian McVey, and Kelly Sutton ("Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rudi B. and Susan Stone Miksa 95-01815 Name of Respondent Stratton Oakmont, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 17, 1995, Claimants, Rudi B. and Susan Stone Miksa ("Claimants"), through their representative, Robert G. Foley, Esq., of Monroe, LA, alleged that Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Burton P. Sauer as Trustee for the Burton P. Sauer Revocable Trust 95-01814 Name of Respondents CarlC. Roba Emrnett A, Laritin & Co., Inc. Melinda L. Jonopulos CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 17, 1995 Claimant Burton P. Sauer Revocable Trust, represented by Burton P. Sauer, wh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Inna Baklcer 95-01813 Name of Respqndents PaineWebber, Inc. Harry Kroft CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on AprU 17. 1995 Inna Bakker (''Claimant"), who appeared Pro Se, alleged that Respondent PaineWebber, Inc., its account representative, Respondent Harry Kroft ("Krof

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary Ann Henron Name of Respondent Dean Witter Reynolds, Inc. 95-01812 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 17, 1995, Claimant Mary Arm Herron, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., made misrepresentations, omitted to state materi