N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Robert O. Johnson 94-01335 Name of Resoondent(s) Theodore L. White, Jr. CASE SUMMARY » In a claim filed with the National Association of Securities Dealers, Inc. on April 8, 1994, Claimant Robert O. Johnson, who appeared Pro Se, alleged that Respondent Theodore L. White, Jr. of Merrill Lynch, Pierce, Fenner and Smith, In

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James E. Sweeney & Carol Sweeney 94-01393 Name of Respondents John V. Adams, Jr. L.C. Wegard & Co., Inc. REPRESENTATION Claimants James E. Sweeney and Carol Sweeney ("Claimants") appeared pro se. For Respondents John V. Adams, Jr. ("Adams") and L.C. Wegard & Co., Inc. ("L.C. Wegard") appeared Marc J. Ross, Esq. of the law

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Claude L. Huey 94-01386 Name of Respondents Chatfield Dean & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 12', 1594, Claimant Claude L. Huey, who appeared Pro Se, alleged that he was coerced into an investment in Microenergy, Inc. without regard to risk potential or personal investme

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edna C. Price 94-01384 Name of Respondents J.J.B. Milliard, W.L. Lyons, Inc. Stephen L. Grossman William B. Conner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 11, 1994, Claimant Edna C. Price, who appeare^tPro Se, stated that she is an 84 year old retired teacher, and a w

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clainiant(s) Charles S. Alston 94-01372 Name of Respondents) Prudential Securities Inc Peter Siegel REPRESENTATION For Claimant Charles S. Alston: Billy R. Smith, Esq., Atlanta, GA. For Respondents Prudential Securities, Inc. and Peter Siegel: V. Michael Arias, Esq., in-house counsel at Prudential Securities, Inc. , Boca

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter, of the Arbitration Between Name of Cl^jmartt NASD Arbitration ELIZABETH J.MOORE No. 94-01318 v. Name of Respondents DEAN WITTER REYNOLDS, INC. and ROBERT WILLIAM INBODY Representation For Claimant: Elizabeth Moore, Esq., Vista, California For Respondents: Tim VerDuin, Esq., of Dean Witter Reynolds, San Francisco, California Case Information Statement of Claim filed: Apri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fay Sirkus as Personal Representative of the Estate of William Sirkus and Fay Sirkus Ind. 94-01311 Names of Respondents *> Advest, Inc. Michael A. Solomon For Claimant, Fay Sirkus ("Sirkus"): Gail F. Aird of Securities Arbitration Network Group, Inc., Pompano Beach, Florida and Eugene Garrett, Esq.. For Respondent, Adve

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas Murray 94-01303 Name of Respondent James Alan Saling CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 7, 1994, Claimant Thomas Murray, who appeared Pro Se, alleged that Respondent James Alan Saling sold his 600 stock options on January 24, 1994 without authorization. Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Oppenheimer & Co., Inc. 94-01301 Name of Respondent Scott Alan Ritcey CASK SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 6, 1994, Claimant, Oppenheimer & Co., Inc., through its representative and outside counsel, Joseph F. Keenan, Esq., of Bochat & Keenan, P.C., in Garden City, N.Y.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ronald A. Katz Case# vs. 94-01298 Name of Respondent Kidder, Peabody & Co., Incorporated vs. Name of Third-Party Respondent Steven Crowley REPRESENTATION For Claimant, Ronald A. Katz ("Katz"), David E. Shellenberger, Esq. of Law Offices of David Shellenberger. For Respondent, Kidder Peabody & Co., Inc. ("Kidder"