N.A.S.n. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Robert and Ann N. Scherr 93-04980 Name of Respondent First Montauk Securities Corporation CASESUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 2, 199*3, Claimants Robert & Ann N. Scherr, who appeared Pro Sc, alleged ihat Respondent First Montauk Securities Corporation, through its registered

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold & Georgia L. Archbell 93-04949 Name of Respondents William Slover CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 24, 1993, Claimants Harold and Georgia L. Archbell, who appeared Pro Se, alleged that they purchased shares of Cascade International Incorporated ("Cas

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION- INC. CASE: 00-03739 Saad Abdoush, claimant vs. FAS Wealth Management Services, Inc. and James DeMers, respondents. ATTORNEYS: Claimant, Saad Abdoush, appeared Pro Se, Irvine, CA. For Respondent FAS Wealth Management Services, Inc. appeared Randy L. Merritt, Esq , Sarasota, FL. Respondent James DeMers appeared Pro Se, Laguna Niguel, CA. DATE FILED: August 7, 2000 CASE SUMMARY: Claimant al

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David J. Preacher 93-04936 Name of Respondents Josephthal Lyon & Ross, Inc. Edward J. Muller James Greene CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 30, 1993, Claimant David J. Preacher, who appeared Pro Se, alleged that Respondents Edward J. Muller and James Gree

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Neil A. Maxwell, Sr. 93-04922 Name of Respondent Smith Barney Shearson, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 30, 1993, Claimant Neil A. Maxwell, Sr., who appeared Pro Se, alleged that Respondent Smith Barney Shearson, Inc. failed to follow his instructions to t

NA.S.D. AWARD NATIONAL ASSOOAHQN OF SECURITIES DEALERS In the Matter 01 the Arbitration Between Name of Claimant John Murphy 93-04885 Name of Rcsponderfl Merrill Lynch Pierce Fenner & Smith, Inc. Name of Third-Party Respondent Kidder, Peabody & Co., Incorporated REPRESENTATION For Claimant John Murphy ("Murphy"): Thomas Campbell, Esq. of the law firm of Smith, Campbell & Paduano. For Respondent Merrill Lynch, Pierce, Fenner & Smith,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Wylie Knight, and Virginia Knight, Claimants, V. NO. 93-04878 R.G. Dickenson & Co. n/k/a Dickenson & Co. , Respondent REPRESENTATION OF PARTIES Wylie and vida Knight ("Claimants") were represented by Bruce Pearson from Fargo, North Dakota. Respondent Dickenson & Co. ("Respondent") was represented by Cathy Gnatek, Esq. of Dorsey & Whitney, Minneapolis, Minnesota. CASE INFOR

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name nf Claimant David W. Bethany and 93-04824 Name of Responriant Oppenheimer & Co., Inc. OV PAHTIES David W. Bethany ("Claimant") was represented by Jeffrey J. Scott, Esq., Krys Boyle Golz Reich Freedman Bean & Scott, P.C., Denver, Colorado. Oppenheimer & Co., Inc. ("Respondent") was represented by Joseph C. Pickaid, Esq., Oppenheimer &

Kx tended Pape I. 1 NATIONAL ASSOCIATION OF SFrURTTTFS DFAT r.RS. INC In the macter of the Arbitration Between Name of Cisim Igor Shocherman NASD Arbitration #93-04738 vs. Nam* rtf Rgspcncisnt Kennedy, Cabot 5c Cornpan>' REPRESENTATION For Claimant; Richard Harrington, Esq., Chandler* Wood, Harrington & Maffly, San Francisco, California For Respondent: George H. Kupper, Esq., Kennedy, Cabot & Co,, Beverly Hills, California TA

N.A.S.D. AWARD In the Matter of the Arbitration Between of Robert Bergamini 93-04700 Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 11,1993, Claimant Robert Bergamini, through his counsel, Michel L Landion, Esq., Brooklyn, NY, alleged that Respondent Prudential Securities, Inc. caused him to lose interest on a $50,000 face value bond, New York State Housing Finance