NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03265 PMMI Pension Trust U/A DTD 7-5-84 Robert S. Neumann, claimant vs. Lutheran Brotherhood Securities Corp., respondent. ATTORNEYS: For claimant PMMI Pension Trust U/A DTD 7-5-84 Robert S. Neumann appeared Kevin L. Hagen Esq., of the firm, Hagen & Hagen, P.A., Hollywood, FL For Respondent Lutheran Brotherhood Securities Corp., appeared in-house counsel, Peter E. Shifsky, Esq., Mi

NATIONAL ASSOCIATION OF SECURITIES DEALER'. In the Matter of the Arbitration Between Or. Stanley Wieczorek Claimant vs. Michel in and Company, Inc. J.W. Gant and Associates, Inc. & John Pearce Respondents Case #88-01709 Award CASE SUMMARY Claimant alleged that Respondent John Pearce mishandled the Claimant's account at Michelin and Company, Inc. by trading in speculative, risky over- the-counter securities that were contrary to t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) William R. and Suzanne La Velle 92-02451 Name of Respondent(s) Prudential Securities Inc Gary Zahn John Palmer REPRESENTATION For Claimants: Susan N. Perkins, Esq. For Respondents Prudential Securities, Inc. and John Palmer: Howard Wilson, Esq. of Rosenman & Colin. The Respondent Gary Zahn did not attend the hear

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George Gray Casc# vs. 92-02441 Name of Respondents Sbearson Lehman Brothers, Inc. Mark Adams For Claimant: Stephen M. Salon, Esq., of Salon & Danis, P.C. For Respondents: William A. Hohauser, Esq., of Shearson Lehman Brothers, Inc. CASE INFORMATION Statement of Claim filed: July 22, 1992. Claimant's Submission Agree

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name- of Claimam(s) Steven L. Candeto Case No. 92-02434 of Resoondentf s) Charles Schwab & Company, Inc. Claimant, Steven Candeto was pm sfi. For Respondent, Charles Schwab & Co. Inc. ("Schwab"): Neil Baritz, Esq. of Boose, Casey, Ciklin, et. al. CASE INFORMATION Statement of Claim filed on: July 23, 1992. Claimant's Submission Agreement si

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Xuan T. Le Hanh B. Hoang NASD Arbitration No. 92-02426 Name of Respondent(s) Kennedy, Cabot & Co., Inc. REPRESENTATION For Claimants: Xuan T. Le, Huntington Beach, California For Respondent: George H. Kupper, Esq., Kennedy, Cabot & Co., Inc., Beverly Hills, California CASE INFORMATION Statement of Claim filed

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Empire Financial Group, Inc. Case No, 92-02425 Naroeflf! 5. Date Trude For Claimant, Empire Financial Group, Inc. ("Empire"): Richard L. Gobto A Kevin M, Gagne, C.6.O. of Empire Financial Group, Inc. For Respondent, S. Date Trade ("Trade"): Dan W. Mow, Oq. CASE WFOBMATHW Statement of Claim filed: July 22, 1992. Claimant's Submission Agreement

N.A.S.D. AWARD NATIONAL ASSOCIATION Or SECURITIES DEALERS In uw Master of the Arbitration Jfcween " Name of Jarosiav Penan 92-02406 Pacific Sootfaem Securities. lac.: Ota Ckarifl*, Inc., aow known M Reynolds Kendrick Stottton. Inc. P. Jackson Pootjota; Wffliam Ivfichand; Genid M. Scbcdaer For Claimant Jarosiav Penan «*s reprcsemed by Joaepfa A, McDermott, m, Esq. of Soapc, Brawn & McDeimaQ, kyar< f id Soanoo, Tecu. For Respondent!

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimant Samuel Uslip 92-02421 Marilyn Fisher John g««*mrfr Distributors, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 21, 1992, Claimant Samuel Uslip, through his representative Martin Gofberg of Securities Arbitration Centers, Inc., Fort Lauderdak, FL, alleged that Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of MarkGoff and 92-02416 Name of Respondents A.G. Edwards & Sons, Inc. and Marc Prda REPRESENTATION OF PARTIES Claimant Mark Goff was represented by Scott E. Hayes, Esq. of Vial, Hamilton, Koch & Knox, Dallas, Texas. Respondents A.G. Edwards & Sons, Inc. and Marc Prda were represented by M. Jane Matoesian, Esq. of A.G. Edward