r NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Christine Sampras and 95-00566 Name of Respondent Paine Webber, Inc. Christos Dousmanis REPRESENTATION OF PARTIES Christine Sampras ("Claimant") was represented by Richard Evans, Buffalo Grove, Illinois. PaineWebber, Inc. ("Respondent PaineWebber 11 ) and Christos Dousmanis ("Respondent Dousmanis")(collectiv

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Michael M. Beltrami Case No. vs. 95-00565 Name of Respondents Smith Barney Shearson, Inc. Joel B. Raskin REPRESENTATION For Claimant, Michael M. Beltrami ("Claimant"), appeared John Keenan, Esq. from EMG Advisory, Inc., located in Fairfield, Connecticut. For Respondents, Smith Barney Shearson, Inc. ("Smith Barney") and Joel Raskin ("Raskin") (collec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Coiporate Securities Group, Inc. 95-00563 Robert Tucker REPRESENTATION For Claimant, Corporate Securities Group, Inc. (CSG): Gregory Tendrich, Esq. of Corporate Securities Group, Inc., Boca Raton, Florida. For Respondent, Robert Tucker ("Tucker"): Michael R. Casey, Esq. of Casey and Molchan, Fort Lauderdale, Florida. CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Frank and Jean DiMartino 95-00561 Name of Respondents Dean Witter Reynolds Inc. William E. Lange CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1995, Claimants Frank and Jean DiMartino, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., through i

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Fidelia W. Alexander, DVM and Case Number 95-00560 Names of Respondents PaineWebber, Incorporated, John Paul Godchaux and Robert Emmett Kennedy CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about January 30,1995 and amendment submitted on or about November 13, 1995,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jack J. Grynberg and 95-00559 Name of Respondent A.S. Goldmen & Co., Inc. REPRESENTATION OF PARTIES Jack J. Grynberg ("Claimant") was represented by Neil E. Ayervais, Esq., Lohf, Shaiman & Jacobs, P.C., Denver, Colorado. A.S. Goldmen & Co., Inc. ("Respondent") was represented by Robert J. Hausen, Esq., Chadbourne & Parke,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ramin Pourteymour, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 00-03831 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: James R. Baliard, Esq. Schwartz Semerdjian & Haile, LLP San Diego, California For Respondent: Thomas L. Taylor, III, Esq. Marcela L. Cuadrado, Esq. Morgan, Lewis & Bockius Los Angeles,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Inez McBride NASD Arbitration No.95-00558 Name of Respondent Associated Securities Corp. Robert Scott Securities Russell Young REPRESENTATION For Claimant: Eileen L McGeever, Esq., Rushall & McGeever, Carlsbad, California For Respondent Associated Securities Corp.: David Markun, Esq., Zelle & Larson, San Franc

NASD Arbitration No. 95-00557 M.A.S.P. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant(si Willis and Mary Short Name of Respondent fs) Kemper Securities, Inc. Kemper Securities Group, Inc. Bateman Eichler, Hill Richards Division William L. Notrica REPRESENTATION For Claimants: Scott L. Metzger, Esq. and Leslie S. Akins, Esq., Duckor & Spradling, San Diego, Californi

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between Name of Claimant Kemper Securities, Inc. and 95-00555 Name of Respondent Robert F, Krause REPRESENTATION OF PARTIES Kemper Securities, Inc. ("Claimant") was represented by Renan I. Sugarman, Esq., Kemper Securities, Inc., Chicago, Illinois. Robert F. Krause ("Respondent") did not appear at the hearing. CASE INFORMATION The Statement o