NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Janet R. Handler Revocable Trust Janet R, Handler Revocable Trust 95-007B9 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc John W. Gideon REPRESENTATION For Claimant Janet R. Handler Revocable Trust by Janet R. Handler, Trustee and Henry Handler, Trustee ("Claimant"): Charles Bagley, IV, Esq. o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark E. Davis 95-00781 Name of Respondent Dickinson & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 15, 1995, Claimant Mark E. Davis, who appeared Pro Se, alleged that Respondent Dickinson & Co., sold him an investment which was not suitable and did not properly service

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between " Walter Prossick 95-00775 Nqipe of Respondents Michael Riorden CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 14, 1995, Claimant Walter Prossick, who appeared Pro Se, alleged that he purchased 950 shares of Harvey Universal ("HU") stock from a Mr. Beaulieu. Claimant further alleged that

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Robert A. Sanchez Ramon Santa Coloma Case No. 95-00768 Name of Respondents Prudential Securities, Inc. Leiand Holtzman REPRESENTATION OF PARTIES For Claimants Robert A. Sanchez ("Sanchez") and Ramon Santa Coloma ("Coloma"): Bruce A. Katzen, Esq. of the taw firm of Kluger, Peritz, Kaplan & Berlin, P. A., Miami, Florida,

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant James P. Beardsley 95-00766 Name of Respondent Howard Silverman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1995 Claimant James P. Beardsley ("Claimant"), who appeared Pro Se, alleged that Respondents Gruntal & Co., Inc. ("Gruntal") and Howard Silverman ("SUverman"), aggressively handled Claimant's account usin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frederick L. Scheffler, Custodian 95-00764 Name of Respondent Thomas James Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1995, Claimant Frederick L. Scheffler, Custodian ("Claimant"), who appeared Pro Se, alleged that Respondent Thomas James Associates,

» N.A.S.D. AWARD In the Matter of the Arbitration Between Name of William C. Lattis 95-00762 Name of Respondent Van Kampen Merritt, Inc. n/k/a Van Kampen American Capital Distributors CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1995, Claimant William C. Lattis, who appeared Pro Se, alleged that Respondent Van Kampen Merritt, Inc., did not pay him the required amount of interest

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Enrique & Marie A. Cantu 95-00760 Name of Respondents) William B Pilkey CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1995, Claimants Enrique and Marie A. Cantu, who appeared Pro Se, alleged that Respondent Bill Pilkey of misrepresented the suitability and return

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alfred D. & Evelyn M. Schmidt JTWROS 95-00758 Name of Respondents Hanover Sterling & Co., LTD. Thomas E. Flamenco CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1995, Claimants Alfred D. & Evelyn M. Schmidt JTWROS, who appeared Pro Se, alleged that they purchased 400

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03862 Global Opportunities Services, Inc., Claimant vs. Investin Securities Corp., Respondent, ATTORNEYS: Claimant, Global Opportunities Services, Inc., ("Claimant"), appeared through its President, Allen Goss, Houston, TX. Respondent, Investin Securities Corp., ("Respondent"), appeared through its Operations Manager, Jay Proffitt, Dallas, TX. DATE FILED: September 5, 2000 CASE