NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant William & Barbara Perry and 95-01255 Name of Respondent Atlanta-One, Inc. Kevin McCarthy John Williams REPRESENTATION OF PARTIES William & Barbara Perry ("Claimants") appeared and were represented by Stephan C. Williams, Esq., Walnut Creek, California. Atlanta-One, Inc. ("Respondent Atlanta-One") and Kevin McCarthy ("

NASD AWARD In the Matter of the Arbitration Between Morgan Keegan & Co., Inc., Claimant, v. No. 95-01252 Premium Mortgage Co., and Gus Cafcalas, Respondents. REPRESENTATION OF PARTIES Morgan Keegan & Co., Inc. ("Claimant") was represented by Premium Mortgage Co. ("PMC"), and Gus Cafcalas ("Cafcalas") (jointly referred to as "Respondents") failed to appear at the hearing. Claimant's Statement of Claim was filed on or about March 10, 1995,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Timothy M. and Linda J. Bradley 95-01247 Name of Respondents Dean Witter Reynolds, Inc. Steven R. Altomare CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 10, 1995, Claimants Timothy M. and Linda J. Bradley, who appeared Pro Se, alleged that Respondents Dean Witter Reynolds,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul R. Thomas 95-01246 Name of Respondents Thomas James Associates, Inc. John Gorman Chris C. Jansen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 10, 1995, Claimant Paul R. Thomas, who appeared Pro Se, alleged that Respondents Thomas James Associates, Inc. ("TJA"), Jo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas Mott, (Claimant), vs. Finn-Atlantic Securities, Inc., S.G. Martin Securities, LLC, and Mark Edward Goldstein, (Respondents) Case No. 00-04624 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant, Douglas Mott, hereinafter referred to as "Claimant": John J. Chester, Jr., Esq., Chester, Willcox & Saxbe, LLP, Columbus, OH. Respondent, S.G. Martin Securities, LLC

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Daniel P. Bradley, and V. Suzanne Bradley, Claimants, v. No. 95-01244 Olde Discount Corporation, and Tony Gioco, Respondents. REPRESENTATION OF PARTIES Daniel P. Bradley, and V. Suzanne Bradley ("Claimants") appeared on their own behalf. Olde Discount Corporation, and Tony Gioco ("Respondents 11 ) were represented by Amy Kurt

/ /•' J AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between , , s , , . Name of Claimant Jacinto Vasquez 95-01243 Names of Respondents Bear Steams &. Company, Inc. Philip Cason Connell Thomas M. Pearce, Jr. Floyd K. Berger Fred Steven Ginsberg REPRESENTATION For Claimant Jacinto Vasquez ("Vasquez"): Michael A. Hanzman, Esq. of Hanzman, Criden, Korge & :

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Jackson Bard vs. NASD Arbitration No.95-01239 Name of Respondent Smith Barney, Inc. Paul Massan REPRESENTATION For Claimant: Stuart L. Carroll, Esq., Los Angeles, California. For Respondent: Lauren N. Schwake, Esq., Keesal, Young & Logan, Long Beach, California CASE; INFORMATION Statement of Claim filed: March

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mahmood Shariff & Ann E. Shariff 95-01235 Name of Respondent Pacific Brokerage Services Inc. REPRESENTATION Mahmood Shariff and Ann E. Shariff ("Claimants") appeared pro se Pacific Brokerage Services, Inc. ("Respondent") was represented by James R. Kruger, Compliance Officer, Pacific Brokerage Services, Inc., Los Angeles,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Betsy C. Shelton 95-01233 Name of Respondent^ Henderson Capital Partners, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1995 Claimant -Betsy C. Shelton, who appeared Pro Se, alleged that Respondent Henderson Capital Partners, Inc. has failed to pay monies owed to her