N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Fannie Monetti Olga Monetti 94-01536 Name of Respondent(s) National Financial Services Corp. Philip Hitman Steven Hitman Alan Beutler REPRESENTATION For Claimants Olga Monetti and Fannie Monetti ("Claimants"), appeared Stuart C. Goldberg, Esq. of the firm Deutsch & Lipner located in Garden City, New York. For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Elizabeth I. Schlagel 94-01525 rjame of ResgondefitjYi Betty Cinq-Mars CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 25, 1994, Claimant Elizabeth I. Schlagel, who appeared Pro Se, alleged that Respondent Betty Cinq-Mars sold her an unsuitable investment. Claimant further alle

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between « Name of Claimant(s) Richard L. Ming James L. Ming, Jr. NASD Arbitration No. 94-01513 Name of Respondent(s) A.G. Edwards & Sons, Inc. John M. Rogers REPRESENTATION For Claimants: Bruce R. Safran, Esq., Tarzana, California For Respondents: Clay L. Grumke, Esq., A.G. Edwards & Sons, Inc., St . Louis , Missouri INFORMATI

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dennis R. Rose and 94-01510 Mami». Addison Securities, Inc. Teresa McCroskey TtF.PRF.SFNTATTON OV PARTIES Dennis R. Rose ("Claimant") appeared pro se. Addison Securities, Inc. and Teresa McCroskey ("Respondents") were represented by J. Ralph Ewing, Addison Securities, Inc. TASTE TNFnRMATTfW The Statement of Claim was filed on or about

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Joseph Bonarigo and 94-01527 Gruntal & Company, Incorporated and David Geschke REPRESENTATION OF PARTIES Claimant, Joseph Bonarigo appeared pro se. Respondents, Gruntal & Company, Incorporated and David Geschke were represented by Harry D. Frisch, Esq. of Gruntal & Company, Incorporated located in New York, New York. CASE INFORMATION The

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Omar Ike Michaels (Claimant) v. Weston Capital Markets, Inc., Weston Financial Services, Inc., Weston Corporate Finance, Inc., and John Liegey (Respondents) Case Number: 01-03036 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant Omar Ike Michaels ("Michaels") hereinafter referred to as "Claimant"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant Sandra B. Nickens 94-01522 Thomas James Associates, Inc. Michael John Graham Claimant Sandra B. Nickens ("Nickens") was represented at the hearing by Walter G. Birkel, Esq. of Tighe Patton Tabackman & Babbin of Washington, D.C. Respondents Thomas James Associates, Inc. ("Thomas James") and Michael John Graham ("Graham") were represe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between » Name of Claimant Craig Fischer 94-01520 of Respondent Olde Discount Corporation For Claimant, Craig Fischer ("Fischer"): David I. Feingold, Esq., West Palm Beach, FL. ' ' For Respondent, Olde Discount Corporation ("ODC"): Bruce A. Campbell, Esq. of ODC, Detroit, MI. CASE INFORMATION Statement of Claim filed: April 24, 1994. Claima

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Oppenheimer & Co., Inc. 94-01518 Thomas Everett Devere For Claimant Oppenheimer & Co., Inc. ("Oppenheimer"): Joseph F. Keenau, Esq. of Bochat & Keenan, P.C., Oaideo City, New York. Respondent Thomas Everett Devere ("Deveia"), of Boca Raton, Florida, was pro so. CASE INTOBMATION Statement of Claim filed: April 18, 199

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS 94-01534 (consolidated with 94-02689) In the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc Name of Respondents Scott M. Zimmerman David B. Kusiel REPRESENTATION For Claimant Prudential Securities Inc: G. Wayne Hillis, Esq. of the law firm of Parker, Hudson, Rainer & Dobbs, Atlanta, GA. For Respondents Scott M. Zimmerman and David B. Kusiel: John E. M