N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Glen Barlow 95-01232 Name of Respondent Andre Gurt REPRESENTATION Claimant Glen Barlow ("Claimant") was represented by Elliot Alan Kolodny, Esq., Groen Leveson Goldberg & Rubenstone, Bensalem, PA Respondent Andre Gurt ("Respondent") did not appear CASE INFORMATION The Statement of Claim was filed March 9, 1995 Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Claimant Francis X. Gormley, Sr., CFO Stephen, Sean and Alexander Gormley 95-01230 Name of Respondents Prudential Securities Inc. Carolann Doherty Brown •% .f REPRESENTATION Claimant Francis X. Gormley, CFO Stephen, Sean and Alexander Gormley ("Claimant") appeared pro se Respondents Prudential Securities, Inc. ("Prudential")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph Cilecek CASE NO. 95-01223 Name of Respondents Raymond, James & Associates, Inc. Jeffrey J. Kartheiser REPRESENTATION For Claimant, Joseph Cilecek ("Cilecek"): Norman Meyers, Esq. of Meyers & Bierkan, P. A. of Sun City, Florida. For Respondents, Raymond, James & Associates, Inc., ("Raymond James") and Jefffrey J.

RECEIVED NASD REGULATION, INC. MAR n 7 OFFICE OF DISPUTE RESOLUTION nMK ARBITRATION AWARD " USD-AfitfllftAJifiN MEDIATION NASD REGULATION. INC. - OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants MAR 1 0 1997 Richard Weisinger and the Garrett Family Trust NASD S.F, A&6WB*Bptotion, Inc. Office of Dispute Resolution Arbitration No. 95-01220 Name of Respondents Gilbert Marshall & Co., In

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Merrill Lynch. Fenner &; Smith, and Inc. v. Mark Ratterree and Hill County Reality Company Case Number: 00-04616 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith. Inc., hereinafter referred to as "Claimant": A. Michael Ferrill. Esq. of Cox & Smith, San Antonio, Texas. Respondents Mark Ratterree and Hill County Reality he

NASD REGULATION AWARD NASD Regulation, Inc., Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gary M. Towers 95-01215 Name of Respondents Olde Discount Corporation; Al Rosenberg REPRESENTATION For Claimant: Gary M. Towers ("Towers") was represented by James J. Eccleston, Esq., of Uscian & Eccleston, Chicago, Illinois. For Respondents: Olde Discount Corporation ("Olde") and Al Rosenberg ("Rosenberg") were r

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant Robert Thomas Securities, Inc. 95-01209 Name of Respondent Richard H. James CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1995, Claimant Robert Thomas Securities, Inc., through its President Stephen Putnam, Cranston, R.I., alleged that Respondent Richard H. James, made unauthorized trades in Susan and Robert Findesen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Tom O. Manown 95-01202 Name of Respondent Josephthal, Lyon & Ross, Inc., and John M. Riedl REPRESENTATION For Claimant: Gary D. Stokes of the law firm of Lamberth, Bonapfel, Cifelli, Willson& Stokes, P.A., Atlanta, GA. For Respondents: Robert E. Murphy, Esq., Deputy General Counsel for Josephthal, Lyon & Ross, Inc., New York, N

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Lamar Neill and Rose Neill and Case No. 95-01197 Names of Respondents William J. Thomas, T.L. Smith Securities, Inc. Louis N. Dunklin, Texas Securities, Inc., David A. Yarbrough, Sara B. Sharpe, Joseph E. Spencer, LeeD. Hobbs, Paul J. Ellenburg, Southwest Securities, Inc. and James N. Beatty REPRESENTATI

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Misty Corp., Inc. and Anglo, Inc. Claimants, v. No. 95-01195 Harold L. Mall and Weber Investment Corp. Respondents. REPRESENTATION OF PARTIES Claimants Misty Corp., Inc. and Anglo, Inc. were represented by Steven R. Dunn, Esq. of Law Firm of Steven R. Dunn located in Dallas, TX. Respondent Harold L. Mall was represented by Cheryl