N.A.S.D. MODIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between V Name of Claimants Harold R. and Ruth D. Thomas 94-00746 Name of Respondents Prudential Securities, Inc. Myriam Aguirre Steve Cassady Danny Walsh CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 28, 1994, Claimants Harold R. and Ruth D. Thomas ("Claimants"), who appeared P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David Szymanski 94-00743 Name of Respondents Olde Discount Corporation Brian McClive Michael Tafelski CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 25, 1994, Claimant David Szymanski, who appeared Pro Se, alleged that based on the advice of Respondent Brian McClive

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul J. Tripodi 94-00742 Name of Respondent Timothy J. Shipley Hibbard Brown & Co. Inc. (bankrupt) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 28, 1994 Claimant Paul J. Tripodi ("Claimant"), who appeared Pro Se, alleged that he held an account at Hibbard Brown & Co., I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James Sheehan 94-00735 Name of Respondent Brian J. Baker Representation of Parties Claimant, James Sheehan ("Sheehan") represented himself at the hearing. Respondent, Brian J. Baker ("Baker") represented himself via telephone conference call. Case Information Claimant's Statement of Claim was filed on February 28, 1994. Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Kim Williams NASD Arbitration #9400721 vs. Name of Respondent BA Investment Services, Inc. Mark Nunes REPRESENTATION For Claimant: Karl R. Molineux, Esq., Smith, Merrill & Peffer, San Ramon, California For Respondent BAIS: Arne D. Wagner, Esq., Bank of America, San Francisco, California CASE INFORMATION Statem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dr. John Toscano and Mary-Ellen Toscano, individually, Jointly, and as custodians and trustees Toscano, Defined Benefit Pension Plan John, Mary Toscano C/F Julie & Lisa Toscano John P. Toscano O.D. Profit Sharing Plan Award No. vs. 94-00720 of Respondents Dean Witter Reynolds Inc. Rick F. Ryan Louis M. Ricciard

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald Michael Scott-Blair, Claimant v. Prudential Securities, Inc. and Alan Wise, Respondents Case Number: 01-02952 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Franklin Geerdes, Esq. Geerdes & Geerdes Escondido, California For Respondents: William M. Cassarini, Esq. Prudential Securities, Inc. New York, New York CASE INFORMATION S

N A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mame'oj^Claimants Robert B. and Jean C. Stewart 94-00718 Name of Respondents J.J.B. Milliard. W.L. Lyons Inc. Stephen L. Grossman CASE SUMMARY Fn a claim filed with the National Association of Securities Dealers, Inc. on February 25, 1994 Claimants Robert B. and Jean C. Stewart ("Claimants"), who appeared Pro Se, alleged that Respondents J.J.B.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Philip Mark Harrington 94-00717 NameofResDondent L. C. Wegard & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 25, 1994, Claimant Philip Mark Harrington, who appeared Pro Se, alleged that Respondent L.C. Wegard & Company, Inc., through its registered representative, Mark

N.A.S.p. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Mildred G. Klug, by Power of Attorney of her son, John Klug NASD Arbitration No. 94-00714 Name of Respondent(a} IDS Financial Services, Inc. Carol Kirchner REPRESENTATION For Claimant: Robert E. Martin, Esq., Portland, Oregon For Respondents: Donald McNeil, Jr., Esq., Popham, Haik, Schnobrich & Kaufman, LTD