N.A.S.D. AWARD NATIONAL ASSOCIATTON OF SECURITIES DEALERS Brooks St. John Smith, and Amy Ryden, Claimants, v. No. 94-00713 Peacock, Hislop, Staley & Given, Inc., and Derrick Doba, Respondents. REPRESENTATION OF PARTIES Claimants Brooks St. John Smith, and Amy Ryden("claimants") were represented by Terrance J. Flemming, Esq., of Lindquist fc Vennum, Minneapolis, Minnesota. Respondents Peacock, Hislop, Staley & Given, Inc., and Derrick

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 94-00709 Name of Respondent John Nathaniel REPRESENTATION Claimant Prudential Securities, Inc. ("PSI") was represented at the hearing by Christopher Freeze, Esq. of PSI of New York, New York. Respondent John Nathaniel ("Nathaniel") appeared at the hearing pro se. CASE INFORMATION The Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant^) John Valentine NASD Arbitration v. No. 94^X3708 of R Kidder, Peabody & Co., Inc., Ray Cyphers, Wes Clark, and Len Gabrielson REPRESENTATION For Claimant: Alexander H. Singleton and Peter A. MacLaren, Esq., Law Offices of Alexander Singleton, San Jose, California For Respondents: William H. Phelps, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Steve and Phyllis Brkovich 94-00704 Prudential Bache Securities, Inc. REPRESENTATION Claimants, Steve and Phyllis Brkovich appeared at the hearing pro se. Respondent, Prudential Bache Securities, Inc. was represented by Christopher M. Mone, Esq. of Prudential Securities, Inc., New York, New York. CASE INFORMATION The Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jon Eric Wallace 94-00701 Name of Respondents RAF Financial Corporation Charles Marion Stember CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 24, 1994, Claimant Jon Eric Wallace, who appeared Pro Se, alleged that Respondent Charles Marion Stember of the Respondent firm RA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Sidney P. Lifton; Carol Lifton; Tami Lifton; Lifton Electric BMP PP&T, Sidney P. Lifton Trustee 94-00694 Name of Respondents First of Michigan Corporation; Herman Schwartz REPRESENTATION For Claimants: Sidney P. Lifton, Carol Lifton, Tami Lifton and Sidney P. Lifton as Trustee of the Lifton Electric Emp PP&T were represented by Bruce E. Bal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward H. & Carolyn L. Magin 94-00690 Name of Respondents Smith Barney Harris Upham & Co., Inc. Sandra J. Bender REPRESENTATION Claimants Edward H. Magin and Carolyn L. Magin ("the Magins") were represented at the hearing by Ted Levine, Esq. of Somerville, New Jersey. Respondent Smith Barney Harris Upham & Co., Inc. ("Smit

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant J. Edward Lucas, in and 01-02951 Phoenix, Arizona Name of Respondents WestAmerica Investment Group Scott D. Schenck John M. Gersten William F. Groszkruger Paula M. Lafon Steven A. Rothstein and Robert H. Daskal REPRESENTATION OF PARTIES J. Edward Lucas, HI ("Claimant") was represented by Frank Lewis, Esq., Begam Lewis Marks & Wolfe

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between James H. Sturgeon and Rita M. Sturgeon, Claimants, v. NASD No. 94-679 Loren B. Kayfetz, Personal Financial Consultants Securities Corporation and Personal Financial Consultants, Inc., Respondents. Representation For Claimants: Reed Bement, Esq., San Francisco, California For Respondents: Douglas Martin, Esq., San Francisco, California Case Infor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant John D. Coons NASD Arbitration v. No. 94-00676 Name of Respondents H.J. Meyers & Co., Brian Donovan and Adam Merrifield REPRESENTATION For Claimant: Pro Se For Respondents: Robert A. Uhl, Esq., Los Angeles, California CASE INFORMATION Statement of Claim filed: February 24,1994 Claimant's Submission