N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Marvin Levin 92-00788 Name of Respondents Prudential Securities. Inc. Robert Grosnoff Robert Knauss REPRESENTATION Claimant Marvin Levin ("Claimant"): Anthony J. Horn, Attorney at Law. Respondents Prudential Securities, Inc. ("PSI"), Robert Grosnoff ("Grosnoff) and Robert Knauss ("Knauss"): Donald R. Levine, First Vice

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John F. Nappy John Franklin & Associates, Inc. Case# vs. 92-00783 Name of Respondents Raymond James & Associates, Inc. REPRESENTATION John N. Nappy ("Claimant"), represented himself at the hearing. For Respondent, Raymond James & Associates, Inc. ("Respondent"), John N. Critchlow, Esq., in-house counsel. CASE INFOR

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gerald Shidell Claimant vs. G.K. Scott & Co,, Inc. John Ashley Respondents CASE #92-00780 AKARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1992, Claimant, Gerald Shidell who appeared Pro Se, alleged that in March, 1989 he was referred to Respondent, John Ashley, account exec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dante Gillono 92-00778 Names of Respondents Boettcher & Company, David R. Steinberg and Freddi B. Steinberg Claimant. Dante Gillono was represented by Kenet E. Chareau, Esq., Tucson, Arizona. Respondents, Boettcher & Co, David R. Steinberg and Freddi B. Steinberg were represented by William D. Nelson. Esq. of Robinson, Wate

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^) Marvin and Flora Maria Negron Case No. 92-00776 Name of Respondent^ Advest, Inc. Joseph Karcagi REPRESENTATION For Claimants, Marvin and Flora Maria Negron ("the Negrons"): Catherine Nathan, Esq. of Brandeis, Bernstein & Wasserman. For Respondents, Advest, Inc. ("Advest") and Joseph Karcagi ("Karcagi"): William C. Freitag

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (Catherine A. Schwartz 92-00774 Name of Respondent Russell G. Koch CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1992. Claimant {Catherine A. Schwartz, who appeared Pro Se, alleged that in February of 1988 she and her husband were looking for a long term investment for their

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Mat tar of tha Arbitrmtion Batwavn BR< o£ Dlah Thabet va. 92-00773 Dean Witter Reynold*, lac. Robert Inbody ThOBaS For Claimant: Paul W. Thomas, Baq., Carlsbad, California For Respondents: Micbaal J. Abbott, Smq., Jonaa, Ball, Slapaon & Abbott, Lot Angalaa, California Statanant of Claim filad: March 3, 1992 Claimant's Submission Agraaaant signad ons Fabruary 26, 199

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. Name of Claimant Mary A. Reardon No. 92-00771 Name of Respondents Dean Witter Reynolds, Inc. Thomas J. Swik REPRESENTATION OF PARTIES For Claimant: Paul F. Schofield, Esq. of Siebel, Whipple & Schofield, Chicago, II. For Respondents: Curt H. Mueller, .Esq. Vice President & Senior Attorney, Dean Witter Reynolds, Inc., San Francisco, Cal

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Theresa Lalonde Case No. 99-03093 " Names of Respondents ' Morgan Keegan & Company, Inc. Wilmer J. Freiberg Ryan Reynolds LeBlanc REPRESENTATION OF PARTIES For Theresa Lalonde, hereinafter referred to as "Claimant": Thomas L. Krebs, Esq. of the law firm of Ritchie & Rediker, L.L.C., Birmingham, Alabama and Kirk Reasonover, Esq. of the law fi

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Intercity Company Establishment Case No. vs. 92-00768 Name of Respondents Shearson Lehman Brothers, Inc. Charles Ahto Dominic J. Mariano, Jr. REPRESENTATION Claimant and Counterclaim Respondent Intercity Company Establishment ("Claimant"), is represented by Elisabeth Sieroe Maurer, Esq. located in Ridgefield, Connecticut. Claimant was represented at