N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. NASD Arbitration No.94-00672 Name of Respondent Daniel C. Corby, Jr. REPRESENTATION For Claimant: David P. Restaino, Esq., Dean Witter Reynolds, Inc., San Francisco, California For Respondent: Richard P. Lentini, Esq., Ryan Swanson & Cleveland, Seattle, Washington CASE INFORMATION St

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fred M. Todaro 94-00670 Name of Respondents F.N. Wolf & Co., Inc. (Bankruptcy) Michael Euripedes CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23, 1994, Claimant Fred M. Todaro ("Claimant"), who appeared Pro Se, alleged that Respondents F.N. Wolf & Co., Inc. ("F.N. Wolf"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gene J. Quirini 94-00669 Name of Respondents Greenway Capital Coiporation Gerald McNeil CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on February 23, 1994, Claimant Gene Quirini, who appeared Pro Se, alleged that Respondent Gerald McNeil, through his firm Greenway Capital Corp. used

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Wallace F. and Phebe E. Smith, Claimants, -and- No. 94-0664 Prudential Securities Incorporated, Douglas Landgraf, Respondent. Ry.PKF.SF.NrTATTOM OF PARTTFS The Claimants, Wallace F. and Phebe E. Smith ("Claimants") were represented by Richard Shevits, Esq., of Cohen & Malad P.C. located in Indianapolis, Indiana. The Respondent, Prudential

N.A.S.D. ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NajneofCIaimants Otis R. Reynolds; Otis R. Reynolds IRA; Hazel T. Reynolds IRA; Otis R. Reynolds Custodian FBO Teresa E. Reynolds; Otis R. Reynolds Custodian FBO Benjamin David Reynolds 94-00663 Name of Respondents First of Michigan Corporation; Michael Sobol REPRESENTATION For Claimants: Otis R. Reynolds, Otis R. Reynolds IRA, Hazel T.

tEC-06-1995 16=52 FROM TO 1212B5B4141 P.02/10 N.A.a.D. AHMB MAT1UNAL ASSOCIATION DP SSCUKlTlgfc! M&LgRS »f Paul Donahue & Donald Donahue '' 94-00658 Westohka Investments, tnc. REPRESENTATION OF PARTIES Claimants, Paul Donahue & Donald Donahue {"Claimants' 1 } were represented at Che hearing by Daniel D. Hill, Esq. of Popham Haik Scnriobrich &. Kaufman, Ltd, Minneapolis, Minnesota. Respondent, Westonka Investments, Inc. {"Westonka") w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD In the matter .of the Arbitration Between Name of Claimant^) William Robert DePalma NASD Arbitration v. No. 94-00650 Name of Rc Shearson Lehman Brothers, Inc. Christopher George Rodgers RFPRFSFMTATION For Claimant: Anthony Trepel, Esq. Trepel & Clark, P.C. San Jose, California For Respondents: William A. Hohauser, Esq. Smith Barney, Inc., New York, New York CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS • In the Matter of the Arbitration Between Name of Claimant Dennis B. Hauber 94-00647 Name of Respondents Craig Hallum, Inc. Darrell Peterson Steven Barker CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23, 1994, Claimant Dennis B. Hauber, who appeared Pro Se, alleged that Respondent Craig Hallum, Inc. and Darrell Peters

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David May, David Franklin May, II, and M&M Enterprises, Inc., Claimants Vs. Case Number: 01-02950 Stifel, Nicolaus & Company, Inc., Roger G. Bonn, and Regald B. Smith, Respondents. Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimants David May, David Franklin May, II, and M&M Enterprises, Inc. ("Claimants"), were represented by Mark E. M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NaineofClaiinant(s) Gregory C. Nappo 94-00645 Name of Respondents) Suppes Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 18, 1994, Claimant Gregory C. Nappo, who appeared Pro Se, alleged that Respondent Suppes Securities, Inc. withdrew $400 from his paycheck in February 1