N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Cl James D. Billiard Pauline M. fflUiard No. 92-02(09 Resondents Bear, Stearns & Co. Inc. Charles Wright REPRESENTATION OF PARTIES Claimant, James D. Hilliard appeared on behalf of himself and Pauline M. HUliaid. For Respondents: Nicholas P. Iverone, Esq. of Bellows and Bellows, Chicago, Illinois. CASE INFORMATION Statement of Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bonnie L. and Thomas O'Malley vs. 92-02604 Name of Respondents Thomas James Associates. Inc. Lawrence Greenberg Joseph Olmsted Dirk Nye REPRESENTATION For Claimants: Bonnie and Thomas N. O'Malley appeared pro se. For Respondents: Thomas James Associates, Inc. ("Thomas James"), Joseph Olmsted ("Olmsted") and Dirk Ny

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS " In the Matter of the Arbitration Between Case Number 92-02601 Diane K. Potter and Tracy E. Potter, Claimants, v. Howard M. Silverman, Richard Devine, Oppenheimer & Co., Inc., Drexel Burnham Lambert, Inc., Vincent Thomas & Associates, Inc., and Robert Ainbinder & Co., Respondents. REPRESENTATION; Peter J. King, Esquire and Linda A. King, Esquire for Claimants, How

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nanje of ClaimaQt Michael P. Psillos vs. 92-02597 Name of Respondents The America Insurance Company Andrew P. Nardella REPRESENTATION Claimant Michael P. Psillos appeared pro se, Respondent American Insurance and Andrew Nardella did not appear. Respondent Prudential Securities was dismissed from the case prior to the hearing. CASE INFOR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Case No. vs. 92-02594 Name of Respondent Arthur Jutte REPRESENTATION For Claimant, Prudential Securities, Inc., ("Claimant"), Gilbert W. Boyce, Esq. from the law firm of Kutak Rock located in Washington, D.C. For Respondent, Arthur Jutte, ("Respondent"), Robert M. Buschmann, Esq. from the law

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steve L. Carson and Jean Carson, (Claimants) v. Gaines, Berland, Inc., Joseph Berland, Arthur Mel Coffey, Michael Avella, Jr., Vincent Antonio Mangone, Eric Lee Miller, Richard John Rosenstock, Mark David Zeitchick, and GBI Capital Management Corporation, (Respondents) Case Number: 99-03292 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Steve L. Car

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bernard Miller, as trustee Vivian Miller, as trustee Case No. 92-02591 Narqe of Respondent} Prudemial-Bache Securities Inc. Russell Ken- Mace B. Tamse For Claimants, Bernard Miller as Trustee of the Bernard Miller Trust ("B. Miller") and Vivian Miller as Trustee of the Vivian Miller Trust ("V. Miller"): Jim Scutti, Esq

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALfeRS In the Matter of the Arbitration Between Name of Claimant Financial Institution Clearing Services 92-02588 Name of Respondent Mohamad Vatani CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on August 3,1992, Claimant, Financial Institution Clearing Services, by and through their in-house counsel, Charles E. Scarlett, Esq. alleged that t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of f^ Beth Pressman vs. NASD #92-02586 o Resondents Prudential Securities, Inc., Bateman Eichler, Hill Richards, Inc. Debra McLeod PJjjPftESENTATION For Claimant: H Thomas Fehn, Esq. of Fields, Fehn & Sherwin, of Los Angeles, California For Respondents [Prudential Securities, Inc. (PSI) & Debra Rida aka Debra McCleod [McLeod]: - Pa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nape of Claimants Marilyn D. Jourdet & Mary Lynn Gonzmart 95-02205 Name of Respondent Robert D. Sherwin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 9, 1995 Claimants Marilyn D. Jourdet and Mary Lynn Gonzmart ("Claimants"), who appeared Pro Se, alleged that they held account #30P-06646-017 with