NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Richard M. Kanold, Claimant, v. NASD No. 95-130 Gene L. Roach, V. Eric Roach, Wilshire Discount Securities, a division of Robert Scott Securities, Inc., Wilshire Discount Securities, Ralph T. Lachman, Robert Bronfman, Dr. Donald Chalmers, Wilshire Commercial Group, Ltd., Wilshire Futures, Inc. and Wilshire Clearing, Inc., Respondents. Repres

t 1 N.A,:~. J ,\Vv NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Aian ar-J Brenda Terry 95-00127 Name of Respondents') Olde Discount Corporation REPRESENTATION For Claimants Alan and Brenda Terry: Jeffrey R. Nickerson, Esq., Atlanta, Georgia. For Respondent Olde Discount Corporation: Timothy L. Isom, Esq., in-house counsel CASE INFORMATION Statement of Claim filed: January

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS 95-00121 In the Matter of the Arbitration Between Name of Claimant(s) Irving M., Hatties P. & Ellis P. Hyman Name of Resoondentf si Scott Waterbury REPRESENTATION Claimants, Irving M, Hatties P. and Ellis P. Hyman ("the Hymans For Respondent, Scott Waterbury ("Waterbury"): Nicholas Chopey New York, New York. CASE INFORMATION Statement of Claim filed: January 9, 1995. Claimants

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William J. Turkowski Award No. vs. 95-00120 Name of Respondent Cartwright & Walker Securities, Inc. REPRESENTATION Claimant, William J. Turkowski ("Claimant"), appeared Pro Se. There was no appearance by, or on behalf of, Respondent Cartwright and Walker Securities, Inc. ("Respondent"). CASE INFORMATION Statement of

rlYHJLJ rtKOI Ift-ttl IV1H IJI 1^ l£J.,&£UUU.LUOtn" £.1 t AVIARP NASD Arbitration No. 95-00119 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (si L . Paul Zankich Name pf Respondent fs) Bear Stearns & Company, Inc, ' . Sterling Foster & Company, Inc. REPRESENTATION For Claimant; L. Paul Zankich, Seattle, Washington For Respondents: Shannon L* McDougald, Esq., Keesal, Young &

M.A.S.D. AWARD NATIONAL ASHQCTATTOW OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant: (si Shirley A. Robinson Name of_Respondent\s} Robert W, Kendrick Reynolds Kendrick Stratton, Inc. NASD Arbitration No- 95-00118 RBPRgSENTATION For Claimant: John W, Barnes, Esq., San Francisco r California For Respondent Robert W, Kendrick: Robert Friese, Esq., Snartsis, Friese & Ginsburg, San Francisco,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03776 Henry O. Fuchs, Claimant vs. John J. Melville, Respondent. ATTORNEYS: Claimant appeared Pro Se, Fairfax, VA. Respondent appeared through Gary R, Irwin, Vice President and Group Counsel, American Express Financial Advisors, Inc., Minneapolis, MN. DATE FILED: August 29, 2000. CASE SUMMARY: Claimant alleged Respondent failed to timely transfer IRA accounts awarded to him by

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Lois M. Wahle Claimant NASD Arbitration No. 95-00116 American Investors Company Cass Candell Respondents) OF PARTIES Lois M. Wahie ("Claimant 11 ) was represented by Morton Levy, Investor Advocates, Emeryville California. American Investors Company ("Respondent") was represented by David S. Markun, Esq., Zelle & Larson, Sa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant J. Edmund & Co. Case# vs. 95-00113 Name of Respondents Robert Todd Financial Corp. Robert Fallah REPRESENTATION For Claimant, J. Edmund & Co., John E. Ligums, President of J. Edmund & Co. For Respondents, Robert Fallah, President of Robert Todd Financial Corp., Mark J. Astarita, Esq. of Gusrae, Kaplan & Bruno, located i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Mark B. Fink 95-00110 Name of Respondents) Securities America, Inc. REPRESENTATION For Claimant Mark D. Fink: F. Robert Slotkin, Esq. of the law firm of Wilson, Strickland & Benson, Atlanta, Georgia. For Respondent Securities America Inc.: Susan Smith Jones, Esq. of the law firm of Pursley, Howell, Lowery & Meeks, Atlant