N.A.SJX AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Grant Cook, James E. Boston, Jr., Chris English, Glen Richardson NASD #94-00595 vs. Name Q Kemper Securities, Inc. Timothy Taub Terry Chase REPRESENTATION For Claimants: Gary B. Callahan, Esq., Cailahan & Deacon, Sacramento, California For Respondents: Peter R. Boutin, Esq., and Lisa M. Bertain, Esq., Keesal,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS * In the Matter of the Arbitration Between Name of Claimant Comprehensive Capital Corporation 94-00592 Name of Respondent Voldemar Arnold Strasdas CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 15, 1994, Claimant Comprehensive Capital Corporation, through its Compliance Director, Fred F. Cirillo, Boca Raton , Florida, alleged th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Clifford Raab 94-00590 Name of Respondents S.D. Cohn & Company, Inc. Sidney D. Cohn CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 14, 1994, Claimant Clifford Raab, who appeared Pro Se, alleged that on June 17, 1993 he signed an employment agreement with Respondent Sidne

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Randy Spicer 94-00589 Name of Respondents Prudential Securities, Inc. Richard Pascuzzi CASE SUMMARY In a claim filed with the National Association of Securities, Inc. on Febniaiy 16, 1994, Claimant Randy Spicer ("Spicer"), who appeared Pro Se, alleged that Respondents Prudential Securities, Inc. ("Prudential") and Richard P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name Emmet C. San Agustin, Pradeep Bajaj, Reena Bajaj JTTEN, Nosrat Nabavi, M.D., and Fernando Sabado NASD Arbitration No. 94-00586 Name of Respondents Gilford Securities, Inc. and Elias Argyropoulos REPRESENTATION For Claimant: James E. Herman, Esq. Rogers, Sheffield & Herman Santa Barbara, California For Respondent: Timothy

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Karen E. Linnen, individually and as administratrix of the Estate of Hilda R. Maier 94-00585 Name of Respondents First Affiliated Securities William P. Carroll PFG Securities, Inc. Spelman & Co., Inc. For Claimant Karen Linnen, individually and as administratrix of the Estate of Hilda Maier appeared Deidre S. Venab

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s') PaineWebber, Inc. 94-00584 Name of Respondents) Steven A. Norton CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 16, 1994, Claimant PaineWebber, Inc., through its in-house counsel, Joseph Generelli, Esq., alleged that Respondent Steven A. Norton voluntarily resigned fr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name j)f Claimant lames E. Ciccolilli 94-00582 Name of Respondents Michael McDyer Hibbard Brown & Co., Inc. REPRESENTATION For Claimant: Claimant appeared pro se. For Respondent: Steven B. Caruso, Esq. of Hibbard Brown & Co., Inc. located in New York, New York. CASE INFORMATION Statement of Claim filed: February 15, 1994. Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITY DEALERS In the Matter of the Arbitration Between Name of Claimant Rita Patin 94-00581 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Representation For Claimant: Rita Patin was represented by Jeffrey Ackermann, Esq. of Durio, McGoffin & Stagg, located in Lafayette, Louisiana For Respondents: Merrill Lynch Pierce Fenner & Smith, Inc. was represented by Richard F. Zimmerman, Jr

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between % Name of Claimant James R. and Sandra L. Pease and 94-00579 Name of Respondent David A. Noyes & Co. John F. Rath REPRESENTATION OF PARTIES James R. and Sandra L. Pease ("Claimants") was represented by Alfred Y. Kirkland, Jr., Esq., Brady, McQueen, Martin, Collins & Jensen, Elgin, Illinois. David A. Noyes & Co. ("Respondent Noyes") an