N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sonia Varun Family Limited Partnership 95-01177 Name of Respondents J.B, Oxford & Co. Fred Deveraux REPRESENTATION For Claimant Sonia Varun Family Limited Partnership ("Claimant"): Vinay Gulati, General Partner of the Sonia Varun Family Limited Partnership, For Respondent JB Oxford & Co. ("JfiOC"): Scott G. Monson, Asso

Award NASD Dispute Resolution, Inc. In the Matter or the Arbitration Between Michael Kukanza and Carmine Ricciardi (Claimants) vs. Merrill Lynch Pierce Fenner & Smith Inc., Joseph D. Argilagos, Paul Mulvaney, T.J. Lim and Rosanna Fazio (Respondents) Case Number: 95-01175 Hearing Site: New York, New York Consolidated with 95-01054 REPRESENTATION OF PARTIES Claimants, Michael Kukanza ("Kukanza"), and Carmine Ricciardi, ("Ricciardi"), hereinafter refer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eunice E. Moore 95-01174 Name of Respondents Richard C. Schwab Raymond Dillon CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 6, 1995, Claimant Eunice E. Moore, who appeared Pro Se, alleged that Respondents Richard C. Schwab ("Schwab") and Raymond Dillon ("Dillon"), are doing

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Wilmer and Helen Mirtsching 95-01172 Name of Respondent(s) Cowen & Company Thomas James Associates, Inc, Bob Wood Paul Gray Jim Roney and JefTFriedensohn REPRESENTATION Helen and Wilmer Mirtsching ("Claimants") were represented by William S. Shepherd, Esq. of William S. Shepherd & Associates located in Houston

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of (founts James E. Street, individually, and as Trustee for James E. Street, DBPP 95-01171 Name Lovett Underwood Neuhaus & Webb, Inc.; Kemper Securities, Inc.; Peter J. Cammarano REPRESENTATION For Claimant: James E. Street ("Street"), individually and as'trustee for James S. Street, DBPP, was represented by William S. Shepherd, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Judith Glynn, Larissa St. John, Linda Fontana, Vincent Crispino, Anita Crispino, Michael Horan, Eugene Clancy, Finbar James, Laurence Sullivan, and Mary Sullivan (Claimants) v. First Allied Securities, Inc., Cormac Glynn, Stephanie Failla, Bear Steams Securities Corp., and Kurt Aibel (Respondents) Case Number: 00-04612 Hearing Site: New York, New York REPRESENTATION OF PARTIES C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS . INC. In the matter of the Arbitration Between of Claimant.f s) Ed Snider NASD Arbitration No. 95-01170 Name of Respondent is] Ronald McChesney Consolidated Investment Services, Inc. REPRESENTATION For Claimant: Robert S. Banks, Jr., Esq., Banks, Newcomb & Sacks, Portland, Oregon For Respondent; Dennis W. Lane, Esq., Lane & Marshall, Vancouver, Washington CASE Sta

f SENT BY: 6-14-99 ;ll:35AM INASD ARBITRATION DPT-> 12122087581;# 2/31 HASP SJSGnfrftTIOH. IBC.. OFFICE QP DlSPTTfB RESOIJTTIQN In the matter of the Arbitration Between Name of ni^imfrntIs) Marc J- Rosenberg Arbitration No. 95-01166 Refloent fa) Lehman Brothers Inc. REPRESENTATION For Claimant: Anthony P. David, Esq., San Francisco, California and Jeffrey L, Liddle, Esq., Liddle & Robinson, L.L.P. r New York, New York For

r N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michelle Poll 95-01163 Name of Respondents Montano Securities Corporation Montano Institute of Finance California Quartz David Lopes Daniel Montano Vicky Montano CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 7, 1995, Claimant Michelle Poll, who appeared Pr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Daniel and Emily Onak 95-01162 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 6, 1995, Claimants Daniel and Emily Onak, through their representative, Paul N. Young, C.E.O., of Securities Arbitration Group, in Marina