NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Nation River Holdings, Ltd, Claimants NASD Arbitration v. No. 95-01638 Terence L. Ross A.G. Edwards & Sons, Inc. Respondents REPRESENTATION OF PARTIES Nation River Holdings, Ltd. ("Claimant") was represented by John Hallis. Terence L. Ross and A.G. Edwards & Sons, Inc. ("Respondents") was represented by Michael D. Gates, Esq., A.G. Edward

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fred Lecker 95-01637 Name of Respondents Gene Todd Scoville Walker Cartwrignt and Walker Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1995 Claimant Fred Lecker ("Claimant"), who appeared Pro Se, alleged that he held an account with Respondent Cartwright a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bertrand and Yvette Baron 95-01636 Name of Respondents McLaughlin, Piven, Vogel Securities, Inc. Steven D. Ircha Peter J. Hopkins CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1995, Claimants Bertrand and Yvette Baron ("Claimants 11 ), through their representati

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-04668 Allan J. Ristori, claimant vs. Salomon Grey Financial Corp. and Edward Becker, respondents ATTORNEYS: Claimant appeared Pro Se, Manasquan Park, NJ. For Respondent Salomon Grey Financial Corp. appeared William B. Federman, Esq., of the firm Dreier Baritz & Federman, Oklahoma City, OK. Respondent Edward Becker appeared Pro Se, Greenlawn, NY. DATE FILED: August 22, 2000 CASE

HPlR.16.19S8 l:05PM NftSD REGULATION PL NO.524 P.3/15 N.A.S-D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Anastasios and Eleni Letsos 95-01632 Names of Respondents Jordan Belfort Kenneth Greene Daniel Porush Peter Tsadilis Stratton Oakraont, Inc. REPRESENTATION For Claimants; Christopher Lovell. Esq., Geoffrey M. Horn, Esq. and Peggy Wedgworth, Esq. of the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Consolidated Award Henry C. Wheelwright c/f Emily Watson Wheelwright 95-01631 Lee Adams Wheelwright and Henry C. Wheelwright 95-01633 Henry C. Wheelwright c/f Mark C. Wheelwright 95-01635 Name of Respondent Michael C. Nolan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1995, Cla

N.A.S.D* AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Name of Claimant Carol M. Ravenal 95-01629 Name of Respondents Johnston, Lemon & Co. Maxwell Elbin REPRESENTATION For Claimant Carol M. Ravenal ("Claimant"): Marvin L. Szymkowicz, Esq. of the lav firm of Mendelsohn & Szymkowicz For Respondents Johnston, Lemon & Co* ("Johnston Lemon") and Maxwell Elbin ("Elbin 11 ): Douglas K. Sp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Norma M. and Robert A. Ayers 95-01625 Name of Respondents Alliance Fund Distributors, Inc. Thomas J. Fox Moors & Cabot REPRESENTATION For Claimants Norma M. and Robert A. Ayers ("Claimants"): Sander A. Rikleen, Esq. of the law firm of Hutchins, Wheeler & Dittmar, P.C., Boston, MA For Respondent Alliance Fund Distri

P 24 4 » APR.31.1998 9J31RM NASD REGULATION FL - rsu.^aa NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Case No. 95-01624 Merrill Lynch Pierce Fenner & Smith, Inc. James R. Ottesen REPRESENTATION OF PARTIES For Claimant: George Hoffman, Esq. of West Palm Beach, Florida. For Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch") and James R. Ottes

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John L. Walker 95-01623 Names of Respondents M. Rimson & Company, Inc. Alex D. Shindman Moshe Rimson REPRESENTATION For Claimant: John L. Walker: pro se. For Respondent, Alex D. Shindman: David H. Jarvis, Esq. of the law firm of Singer, Bienenstock, Zamansky, Ogele & Selengut, L.L.P., New York, N.Y. Respondents, M.