N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clajmant(s) J.K. Macdonald Eloise R. Macdonald 92-02549 Name of Respondents) Smith Barney Harris Uphant & Co., Inc. REPRESENTATION For Claimants J.K. MacDonaid and Eloise R. MacDonald: Edward J. Dovin, Esq. of the law firm of Page & Bacek. For Respondent Smith Barney Harris Upham & Co., Inc. ("Smith Barney"): David S. Friedman,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Norman W. Merriei and Priscilla F. Kates 92-02547 Janney Montgomery Scon Inc. Harold Wiener REPRESENTATION For Claimants Norman W. Merriei and Priscilla F. Kates ("Claimants"): Anthony J. Horn, Attorney at Law For Respondents Janney Montgomery Scott Inc. and Harold Wiener: Richard S. Israel, Esq. of the law firm of Archer

N.A.S.D. AWAPJ) NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name pf Clai Prudential Securities, Inc. and 92-02543 Name nf Respondent John Edward Norman REPRESENTATION OF PARTIES Prudential Securities, Inc. ("Claimant") was represented by Gilbert W. Boyce, Esq. of Kutak Rock, Washington, D.C. John Edward Norman ("Respondent") was represented by Raymond J. Turner, Esq. of Sherman & Howard, Denv

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jack D. Fowler vs. 92-02542 Name of Respondents Prudential Securities Inc James D. Shulman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1992, Claimant Jack D. Fowler, who appeared Pro Se, alleged that Respondent James D. Shulman, through his employer firm, Respondent P

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John J. and Evelyn J. Coco, JTWROS 92-02539 Name of Respondents Robert Todd Financial Corp. Steven R. Cloyes CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1992, Claimants John J. and Evelyn J. Coco, who appeared Pro Se, alleged that Respondent Steven R. Cioy

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edwana Corley and Gayle Corley Hardy 92-02523 Name of Respondents PaineWebber Incorporated; John Decker, Marvin Griffin, Jr. REPRESENTATION For Claimants: Edwana Corley and Gayle Corley Hardy were represented by Edwana Corley. For Respondents: PaineWebber Incorporated, John Decker and Marvin Griffin, Jr. were represent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name'of Claimants John and Linda Vavrek 92-02521 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Paul W. Ziegler REPRESENTATION For Claimants John and Linda Vavrek ("Claimants"): Anthony J. Hartman, Esq. of Hermann Cahn et al. For Respondents Merrill Lynch Pierce Fenner & Smith Inc. ("MLPFS") and Paul W. Ziegler ("Ziegler")

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Helen M. Young vs. 92-02517 Name of Respondents NWNL Management Corporation Charles E. Warner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 31, 1992, Claimant Helen M. Young, who appeared Pro Se, alleged that Respondents NWNL Management Corporation and Charles E. Warner misled her int

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: BEVERLY L. ZWARYCH, Claimant, -vs- GARY LEE WALES, J. WILL PAULL, CLARK F. COLTON, WILLIAM GREGG, DENNIS BROWN, ROBERT BOONE, KENNETH D. WARNICK and MARINER FINANCIAL SERVICES, INC., Respondents. Case Number: 99-03273 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Beverly L. Zwarych ("Claimant"): Anthony V. Trogan, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between e of Claimants Paul & Margie Campbell, Kelly Campbell vs. 92-02516 Name of Respondent^ Dominick & Dominick Incorporated George Tully For Claimants Paul, Maigie and Kelly Campbell, ("Claimants"): Paul Campbell and Christopher Osbome represented the Claimants. For Respondent Dominick & Dominick, Inc. ("Respondent "): William P. Bethune of the