N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Sheng Zhou 94-01053 Name of Respondents') Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD, Inc.") on March 18, 1994, Claimant Sheng Zhou, who appeared pro se, alleged that Respondent Charles Schwab & Company, Inc. failed to follow his instructions

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Shuh-Yueh Simon Hsu 94-01050 Name of Respondent^ Smith Barney Shearson, Inc. n/k/a Smith Barney Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 18, 1994, Claimant Shuh-Yueh Simon Hsu ("Hsu"), who appeared Pro Se, alleged that Respondent Smith Barney Shearson, Inc., n/

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * A. DeWayne Wee and Theo R. Wee 94-01041 Name of Respondents Equity Securities Trading Co., Inc. and Michael L. O'Brien Representation of Parties Claimants DeWayne Wee and Theo Wee ("Claimants") were represented at the bearing by Mark J. Briol, Esq. and Gregory L. Wilmes, Esq. of Briol & Wilmes, Minneapolis, Minnesota. Respondents, Equity

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Marjorie H. Turner, Individually and as Trustee for the Marjorie H. Turner trust dtd 3/12/82 Claimant NASD Arbitration No. 94-01035 v. Crowell Weedon & Co. Allan MacDougall Respondents REPRESENTATION For Claimant: Michael Huberman, Esq., of counsel to Greenbaum and Ferentz, Newport Beach, California For Respondents: John A. Blue, Esq., and K

Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: Ross R. Clark and Sandra E. Clark, Claimants Vs. Case Number: 01-02989 Fifth Third Securities, Inc., Respondent. Hearing Site: Cincinnati, Ohio REPRESENTATION OF PARTIES William H. Blessing, Esquire, of Cincinnati, Ohio, represented Claimants Ross R. Clark and Sandra E. Clark ("Claimants"). Joseph M. Callow, Esquire, of Keating Muething & Klekamo, P.L.L., Cinci

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert E. and Marilyn B. Riecks 94-01028 Name of Respondents Alex, Brown & Sons, Incorporated Roy Gardner Warren Laffer, Warren and Co., Inc. REPRESENTATION For Claimants, Robert E. and Marilyn B. Riecks ("Riecks"): H. Douglas Powell, Esq., Plantation, Florida. For Respondent, Alex, Brown & Sons, Incorporated ("Alex Br

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Howard P. and Iris Johnson, Trustees 94-01026 of Respondents D.H. Blair & Company, Inc. Naftali Feigenbaum REPRESENTATION For Claimants Howard P. Johnson and Iris Johnson, Trustees ("Johnsons"): Mark A. Tepper, Esq., Fort Lauderdale, Honda. For Respondent D.H. Blair & Company, Inc. ("Blair"): Todd C. Streckler, Esq., o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard J. Annaian Richard Prevett Award No. 94-01024 vs. Name of Respondent Smith Barney Shearson, Inc. (formerly known as Shearson Lehman Brothers, Inc.) REPRESENTATION For Claimant: Richard J. Annaian, Richard Prevett ("Claimants"), David P. Brauer, Esq. from the law firm of Brauer and Brauer located in Medfield,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Bonnie W. Young and George C. Young 94-01019 Name of Respondents') J.C. Bradford & Co. Estate of James M. Heidt REPRESENTATION For Claimant: Shawn D. Stafford, Esq. of Atlanta, Georgia. For Respondent J.C. Bradford & Co., Claude O. Ramer, n, Esq. of Nashville, Tennessee . For Respondent Estate of James M. Heid

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Suresh Wattamwar, Trustee and Administrator of Shri Drug Yojoo Pharmacy, Inc. Profit Sharing and Pension Plan 94-01017 Name of Respondents Prudential Securities Inc Robin Bhattacharya REPRESENTATION For Suresh Wattamwar (hereinafter referred to as "Claimant") appeared Krishnan Chittur, Esq., New York City, New York. For R