N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Eleanor I. and Donald E. Jackson 93-02860 Name of Respondents') Peter Theodorellis REPRESENTATION For Claimant: The Claimants, Donald E. Jackson and Eleanor I. Jackson, appeared pro se. For Respondent: Diana Armenakis, Esq. of Armenakis & Armenakis, New York, NY. CASE INFORMATION Statement of Claim filed: July 20

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 93-02858 Name of Respondent Nobuyuki Mokkoh REPRESENTATION For Claimant Prudential Securities, Inc. ("Claimant"): Gilbert W. Boyce, Esq. with the law firm of Kutak Rock located in Washington, D.C.. For Respondent Nobuyuki Mokkoh ("Respondent"): John M. Townsend, Esq. with the law firm of Hughes H

N.A.S.D. AV/ARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jocelyn Mackay and B.L. Mclvor •and •••' 93-02853 Name of Respondents Reynolds Kendrick & Stratton, Inc. and Ruth Sutherland REPRESENTATION OF PARTIES Jocelyn Mackay and B.L. Mclvor ("Claimants") were represented by Jerome H. Ferguson, ffl, Esq. of Fefgirsbii-and Burns, Dallas, Texas. Reynolds-Kendrick & Stratton

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03717 Linda Rassel, Claimant vs. Thomas Repaskey and McDonald & Company Securities, Inc., Respondents. ATTORNEYS: For Claimant appeared Todd S. Selin, Esq., of the firm Scott & Associates, P.C., Lansing, MI. For Respondents appeared Ellen B. Young, Esq., of the firm Ulmer & Berne LLP, Cleveland, OH. DATE FILED: August 25, 2000. CASE SUMMARY: Claimant alleged that Respondents ma

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00385 Laura E. Gabon, Claimant vs. Shirley Adams, Jeannette Werkmeister and Advest, Inc. Respondents. ATTORNEYS: Claimant, Laura E. Cabon, ("Claimant"), appeared Pro Se, Elizabeth, PA. For respondents appeared Thomas P. Byrne, Esq., Hartford, CT. DATE FILED: January 31, 2000 CASE SUMMARY: Claimant alleged that she sent Respondents a check in the amount of $2,500.00 as an initia

~ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants vs. NASD Name of Resondents REPRESENTATION For Claimant: T, = , For Respondents: to CASE INFORMATION / // -i/ Statement of Claim filed: -^UUto- &', Claimant's Submission Agreement signed: c/; '" t '^ < -> Statement of Answer filed by Respondents on: \f.ffle,-wvw 3, n 7-5 U' Respondents'

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hale P. Saph IH Trust, Hale P. Saph m 93-02844 Name of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson Patrick D. Malzone CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 21, 1993, Claimant Hale P. Saph m, who represented himself, alleged that Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Philippe Dambia Case #: 93-02841 Name of Respondent Citicorp Investment Services CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 21, 1993, Claimant Philippe Dambia, who appeared Pro Se, alleged that on June 25, an agent of Respondent Citicorp Investment Services sold, without his auth

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas E. White 93-02836 Name of Respondents Olde Discount Corporation Guy Gage CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 20, 1993, Claimant Thomas E. White, who appeared Pro Se, alleged that he contacted Respondent Guy Gage of Respondent Olde Discount Corp. about Divide

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between DONALD B. BEARD and CELESTE D. BEARD Claimants v. NASD No. 93-2817 KENNEDY, CABOT & CO., DAVID P. KANE and GENE L. ROACH Respondents Representation For Claimant: Donald Beard, Highland, CA For Respondents Kennedy, Cabot & Co. and David P. Kane: George Kupper, Esq. of Kennedy, Cabot & Co., Beverly Hills, CA For Respondent Gene L. Roach: Gene L. R