N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 95-00508 Name of Respondent John P. Nichols CASE SUMMARY [n a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1995, Claimant GKN Securities Corp. ("Claimant"), through its representative and in-house counsel, Katherine Nathan, Esq., alleged that Respondent John P. Nichol

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 95-00506 Name of Respondent Richard C. Taylor CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1995 Claimant GKN Securities Corp., ("Claimant") through its representative and in-house counsel, Katharine Nathan, Esq., alleged that Respondent Richard C. Ta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Ellen Bumpas Zander 95-00501 Name of Respondents) Raymond, James & Associates, Inc. Investment Management & Research, Inc. Charles G. Brashier REPRESENTATION For Claimant: Sara M. Bumpas appeared as the attorney in fact for Ellen Bumpas Zander. For Respondents Investment Management & Research, Inc. and Raymond James & As

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joe D. Freeze and Glass Services, Inc. 95-00500 Name of Respondents PaineWebber Incorporated; Oppenheimer & Co., Inc.; Larry Bishop REPRESENTATION For Claimant: Joe D. Freeze ("Freeze") and Glass Services, Inc. ("Glass") were represented by Frederick E. Roth, Esq. of Naperville, Illinois. For Respondent: PaineWebber In

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Babcock & Wilcox, Employees Federal Credit Union of Respondent Merrill Lynch, Pierce, Fenner & Smith Inc. 95^00496 REPRESENTATION For claimant Babcock & Wilcox, Employees Federal Credit Union ("claimant") appeared Christopher F. Swing, Esq. of the law firm Brouse & McDowell located in Akron, Ohio. For respondent Merrill Lyn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Money Management Advisory Inc. 95-00493 Name of Respondent Thomas Anderson REPRESENTATION For Claimant Money Management Advisory, Inc. ("Claimant"): John D. Quinn, Esq. and Sarah D. Jackowski from the law firm of Sale, Quinn, Deese & Weiss, P.C. , Washington, D.C. For Respondent Thomas Anderson ("Respondent"): Michael S. Fr

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Terry P. Murphy, Claimant, v. No. 95-00490 Biltmore Securities, Inc., Elliot Loewenstern, Darolyn Colodny, Chris Hyatt, Michael Steinberg, Lee M. Rough, and Richard Bronson, Respondents, REPRESENTATION OF PARTIES Terry P. Murphy ("Claimant") was represented by John J. Miller, Esq., of Nygaard & Miller, Overland Park, Kansa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS PUBLIC In the Matter of the Arbitration Between Name of Claimant^ Raymond M. Weinstein 95-00481 Name of Respondent(s) Southern Financial Group, Inc. * Brian C. Hutto Pamela A. Wooten REPRESENTATION For Claimant Raymond M. Weinstein: Steven Kapustin, Esq., of the law firm of Connell and Bland, Columbia, SC. For Respondents Southern Financial Group, Inc., Pamela A. Wooten an

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-3819 Jim Jennings, Claimant vs. DIP Securities, Inc., Kenneth c. Gaughran and David Flanzer, Respondents. ATTORNEYS: Claimant, Jim Jennings, ("Claimant"), appeared Pro Se., Brooklyn, NY. Respondents DIP Securities, Inc., David Flanzer, and Kenneth C. Gaughran (collectively "Respondents") appeared through their President David Flanzer, Hauppauge, NY. DATE FILED: September 01, 2000

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Allan and Patricia Solomon 95-00472 Montgomery Securities Robert P. White CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 30, 1995, Claimants Allan and Patricia Solomon ("Claimants"), through their representative, Jeffrey S. Salisbury, Esq., of Bowles & Verna, located in Walnu