N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Oreste Petillo Case# vs. 92-02675 Name of Respondents Robert Todd Financial Corp. Thomas F. Holeva Robert Sobieraj REPRESENTATION For Claimant, Oreste Petillo ("Claimant"): Jeanmarie A. Riccio, Esq. For Respondent. Robert Todd Financial Corp. ("Robert Todd"): Leslie K. Case, Esq. from the law firm of Giersten. Savag

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Karl-Heniz Kowa & Christel I. Kowa Case No. 92-02673 Name of Respondents Viner (Edward A.) & Co., Inc. Fahnestock & Co., Inc. Ruan Securities Corporation Brian Smith REPRESENTATION For Claimants, Karl -Heinz Kowa and Christel I. Kowa: Russell L. Forkey, Esq. of Russell L. Forkey, P.A., Fort Lauderdale, Florida. For

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tobie L. Gurewitz, Claimant v. Wells Fargo Securities, Inc., Respondent Case Number: 99-03298 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Tobie L. Gurewitz In Pro Per Tarzana, California For Respondent: Robert T. Sullwold, Esq. Sullwold & Hughes San Francisco, California CASE INFORMATION Statement of Claim filed: July 17, 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant!s) PUBLIC Helen Finnell 92-02671 Name of Respondents') Prudential Securities Inc Warren Thompson REPRESENTATION For Claimant Helen Finnell: J. Patrick Sullivan, Esq., sole practitioner, Lexington. Kentucky. For Respondents Prudential Securities, Inc. and Warren Thompson: William Allen, Esq. of Gess Mattingly & Atchison,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jane M. and Charles R. Lewin 92-02670 Name of Respondent Paine Webber, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 11, 1992, Claimants Jane and Charles Lewin, who appeared Pro Se, alleged that Respondent Paine Webber, Inc., through it's broker Timothy Mobley

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Donald F. and Dorothy T. Pettigrcw vs. 92-02665 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1992, Claimants Donald F. and Dorothy T. Pettigrew, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alice Dickev 92-02661 Name of Respondents Equico Securities. Inc.. Cornwall Securities. Inc.. and Bruce E. Melroe. Third-Party REPRESENTATION OF PARTIES For Claimant at the hearing: Bruce Pearson. Fargo, North Dakota. For Respondent Cornwall Securities, Inc.: Barry J. Herman, Cornwall Securities, Inc., Great Neck, New Y

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Hairy D. Tyszko Diane D. Hodgson AWARD vs. NASD #92-02660 Name pf Respondent; E.F. Button and Company, Inc. Shearson Lehman Hutton, Inc. Smith Barney Hutton Upturn & Company Brian G. DiJulio Barbara J. DiJulio For Claimants': Gregory D. Lucas, Esq. of Lucas & Lucas of Bellevue, Washington. For Respondents' Shearson Lehman H

PUBLIC N.A.S.D. AWAJRD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lindsay and Sharon Bassing 92-02656 Name of Respondents Raymond, James & Associates, Inc. Arthur DeMartine CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1992, Claimants Lindsay and Sharon Bassing, who appeared Pro Se, alleged that in December 1988 they wen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. vs. 92-02655 Name of Respondent John D. Hufnagel CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1992, Claimant PaineWebber, Inc., through its in-house counsel, Joseph F. Generelli, Esq., alleged that Respondent John D. Hufnagel has failed to pay an unsecur