N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Davis Iran NASD Arbitration v. No. 95-01432 Name of Respondents Hassan Hasemian and Investment Technology Corporation International REPRESENTATION For Claimant: Joseph G. Davis, Esq. Santa Ana, California For Respondent Hassan Hasemian: Hassan Hasemian, In Pro Per Los Angeles, California For Respondent Investm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) James E. and Rena E. Gates 95-01427 Name of Respondents) Prudential Securities, Inc. Robert E. Kilbridge CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1995, Claimants James E. and Rena E. Gates, who appeared Pro Se, alleged that Respondent Robert E. Kilbridge of the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William E. Latta 95-01420 Name of Respondents Metropolitan Life Insurance Company Harry Kamen Ted Athanassiades Charles Sahner REPRESENTATION For Claimant: Robert J. Carroll of Perenich, Carroll, Perenich, Avril & Caufield, P.A., Clearwater, FL; Louis Kwall of Kwall & Showers, P.A., Clearwater, FL; James O'Leary, II,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the "Arbitration Between Name of Claimant Simon Strum 95-01417 Names of Respondents Dean Witter Reynolds, Inc. Phil Rosensweig REPRESENTATION For Claimant/Counterrespondent Simon Strum ("Strum"): Jeffrey Tew, of Jeffrey Tew, P. A.," Miami, Florida. For Respondent, Dean Witter Reynolds, Inc. ("Dean Witter"): Peter J. Aldrich, Esq.> of Kelley, Aldrich & Warren,

AWARD NASD REGULATION, INC., , OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Roy Beal NASD Regulation, Inc. Arbitration No. 95-01414 Name of Respondents Andrew Bleeden and William Lawrence Securities, Inc. REPRESENTATION For Claimant: Roy Beal, In Pro Per San Pedro, California For Respondents: Raymond Niesslen William Lawrence Securities, Inc. Missoula. Montana CASE INFORMATION

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kurt Markstein Claimant NASD Arbitration v. No. 95-01412 Prudential Securities Michael Appelbaum Respondents REPRESENTATION OF PARTIES Kurt Markstein ("Claimant") represented himself, pro se. Prudential Securities and Michael Appelbaum ("Respondent") were represented by Arthur G. Baumgartner, Prudential Securities, New York. CASE INFO

STIPULATED AWARD NASD Dispute Resolution, Inc* In the Matter of the Arbitration Between; Michelle A. Irwin, Michelle A, Irwin Retirement-Roth, Michelle A. Irwin IRA-Standard, Michelle A. Irwin for Chrystal Ventimiglia UTMA/CA, and Ashley Burrell, Rick Saivetti and Morgan Stanley Dean Witter. Case Number: 00*04647 ^ REPRESENTATION Of PARTIES For Claimant: David Mi Hollingsworth, Esq. Monterey, CA. For Respondents: Janet T. Epstein, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter tff the Arbitration Between Name of Claimant Demetres Tsimis 95-01410 Name of Respondent Kidder, Peabody & Co., Inc, REPRESENTATION For Claimant Demetres Tsimis ("claimant") appeared Carla E. Craig, Esq., with the firm Hertzog, Calamari & Gleason, New York City, New York. For Respondent Kidder, Peabody & Co,, Inc. ("respondent") appeared Jodi M. Posner, Esq., Assista

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard L. Herman 95-01406 Kame of Respondents A.s. Goldmen & Co., inc. Christopher John Albert Richardson REPRESENTATION Claimant Richard L. Berman ("Claimant") appeared at the hearing "Pro se". Respondents A.S. Goldmen & Co., Inc. ("Goldmen") and Christopher John Albert Richardson ("Richardson") were represented at th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS JT In the Matter of the Arbitration Between Name of Claimant George Forrester c/f Victoria Forrester UGMA NY 95-01405 Name of Respondent^ William C. Ostrand Corporate Securities Group,Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimant George M. Forrester c/f Victoria Forrester UGMA NY ("Claimant"), who appeared