NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants George & Evelyn Jones 95-00268 Name of Respondents Smith Barney Shearson Donald & Company Anna York REPRESENTATION For Claimants George and Evelyn Jones ("claimant") appeared Richard D. Gaines, Esq. with law offices located in Ridge wood, New Jersey. For Respondent Smith Barney Shearson, Inc. ("Smith Barney") appeared Christopher O'Malley, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sloan W. Kelly, (Claimant) vs. Shane Merritt and Prudential Securities Incorporated, (Respondents) Case Number: 00-03794 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Sloan W. Kelly, hereinafter referred to as "Claimant": Robert A. Shaines, Esq., Shaines & McEachern, Portsmouth, NH. Respondents, Prudential Securities, Inc. ("Prudential") and Shane

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Badidokht Bahadori Claimant, v. No. 95-0267 Wesley Hayne, Kevin Miller, Chris Farni, Hayne Miller & Farni, GDN Securities, Ltd., Kevin Miller Respondent. REPRESENTATION OF PARTIES Claimant Badidokht Bahadori was represented by Rebecca Bender, Esq. of Minneapolis, MN. Respondent GDN Securities, LTD. and Kevin Miller and Hayne, Miller & Farni, Inc. was represented by Robert D. M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant A.G. Edwards & Sons, Inc. 95-00265 Name of Respondent Stephen A. Mazer CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 13, 1995, Claimant A.G. Edwards & Sons, Inc. ("Edwards"), through its in-house counsel Jeff S. Jamieson, Esq., St. Louis, Missouri, stated that on or about May

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant s) Katherine V. & Robert J. Gourley 95-00264 Name of Respondent(s) Chadwick Securities Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 17, 1995, Claimants, Katherine V. and Robert J. Gourley, who appeared Pro Se, alleged that Respondent, Chadwick Securities, Inc., recommen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeff Limebeer 95-00262 Name of Respondents Olde Discount Corporation Greg Wiebke CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 17, 1995, Claimant Jeff Limebeer ("Claimant"), who appeared Pro Se, alleged that Respondents Oide Discount Corporation ("ODC") and Greg Wiebke ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant S. Barron Segar 95-00261 Name of Respondent Gabelli & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 17, 1995 Claimant S. Barron Segar, who appeared Pro Se, alleged that Respondent Gabelli & Company, Inc., informed him that he was unable to redeem his account

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Winifred L. Register 95-00260 Name of Respondent Edward D. Jones & Co. Chris Cunning CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 17, 1995, Claimant, Winifred L. Register ("Register"), who appeared Pro Se, alleged that Respondent Chris Cunning ("Cunning") the sole repres

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Burton Brooks Name of Respondents Berkeley Securities Corp Stephen C. Floto Israel Cohen 95-00255 © National Association of Securities Dealers. Inc. All Rights Reserved For Claimant, Burton Brooks, ("Brooks"): Stephen C. Sadin, Esq. of McKenna, Store*, Rowe, White & Famig, Chicago, IL. V vV-.r For Respondent Ber

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Susan Toch, Claimant, v. NASD No. 95-243 Smith Barney Shearson and Gary Peterson, Respondents. Representation For Claimant: Pro se, Berkeley, California For Respondents: Ellen Slipp, Esq. of Smith Barney Shearson, New York, New York Case Information Statement of Claim filed: January 17, 1995 Claimant's Submission Agreement signed: January 12