NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert Elmer Claimant, v. 95-1388 Jesse Gonzales, AMR Securities, Inc., Respondents, REPRESENTATION OF PARTIES Claimant, Robert Elmer, was represented by Hobert T. Douglas, Esq., of Robert T. Douglas n P.C. & Associates located in Arlington, Texas. Respondent AMR Securities, Inc. was represented by Tony Elgindy, of AMR Securities, Inc.

NASD REGULATION, INC. AWARD Case No. 95-01385 In the Matter of the Arbitration Between Name of Claimants Robert and Jean Olen vs. Name of Respondents Oppenheimer & Co., Inc. Strasbourger Pearson Tulcin & Wolff Inc. Haskell Israel REPRESENTATION For Claimants Robert and Jean Olen ("Claimants") appeared Christopher J. Calabrese, Esq., of the firm Elliot, Stern & Calabrese, LLP, located in New York, New York. For Respondent Oppenhei

N.A.S.D. AWARD N/:' A .?ON.4L ASSOCIATION OF SECURITIES DEALERS In me Matter of rhe Arbitration Between Name of Claimants) Express Drugs, Inc. and Chaoying Chen 95-01383 Name of Respondentfs'l The Harriman Group, Inc. John Bosco REPRESENTATION The Claimants, Express Drugs, Inc. ("Express Drugs") and Chaoying Chen ("Chen"), collectively ("Claimants"), appeared Pro Se. For Respondents, The Harriman Group, Inc. ("Harriman") and John

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Abbas & Deborah Sadriwalla 95-01382 Name of Respondents Smith Barney Shearson, Inc. Ken Arnold REPRESENTATION For Claimants Abbas and Deborah Sadriwalla ("The Sadriwailas"): David A. Coven, Esq. of Fort Lauderdale, Florida. For Respondents, Smith Barney Shearson, Inc. ("Smith Barney") and Ken Arnold ("Arnold"):

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Randall M. Cutts 95-01379 Name of Respondent Prudential Securities, Inc. REPRESENTATION Claimant Randall M. Cutts ("Cutts") appeared pro se. • •* For Respondent Prudential Securities, Inc. ("Prudential") appeared William W. Allen, Esq. of the firm Gess, Mattingly & Atchison located in Lexington, Kentucky. CASE INFORMATI

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mitchell Spearman 95-01376 Name of Respondents Morgan Keegan & Company Inc. Charles N. Barth REPRESENTATION For Claimant, Mitchell Spearman ("Spearman 11 ): Roy B. Dalton, Jr., Esq. of Martinez DaJton Dellecker & Wilson, Orlando, Florida. For Respondent, Morgan Keegan & Company, Inc. ("Morgan Keegan 11 ); Al

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald E. Buck 95-01374 Name of Respondent^ Hanover, Sterling & Co. Ltd. Christopher Wolf CASE ^UMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimant Donald £. Buck, who appeared Pro Se, alleged that Respondent Hanover, Sterling & Co., Ltd. ("HSC"), and Christopher Wol

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alfred Daniel Eliason 95-01373 Name of Respondents Richard S. Youngberg Torrey Pines Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimant, Alfred Daniel Eliason, who appeared Pro Se, alleged that Respondents Richard S. Youngberg ("Youngberg") an

I Award NASD Dispute Resolution In the Matter of the Arbitration Between: Adel F. Samaan, M.D., and Adei F. Samaan IRAs, Claimants v. Erland Peterson, William P. Barnard, Neal Edwin Nakagiri, John R. Lindsey, Sean P. McGaughey, Murli D. Sujanani, Associated Securities Corporation flea Associated Planners Securities Corporation, Associated Planners Investment Advisory, Associated Financial Group, Philip N. Gainsborough, Respondents Case Number: 00-04642

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold and Jean L. Blatt 95-01370 Name of Respondent Hanover Sterling REPRESENTATION Claimants Harold Blatt and Jean L. Blatt ("Claimants") appeared pro se. Respondent Hanover Sterling ("Respondent") did not appear CASE INFORMATION The Statement of Claim was filed March 28, 1995 Claimants' Submission Agreement was