N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS * In the Matter of the Arbitration Between Name of Claimant John Wedig 94-00292 Name of Respondent Otto Knop CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1994, Claimant John Wedig, who appeared Pro Se, alleged that Respondent Otto Knop of Prudential Securities misrepresented Astrotech International Stock by stating that he

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-02939 Dorothy C. Allshouse, claimant vs. Morgan Stanley DW Inc., Paul R. Jingosian and Jay Keranen, respondents. ATTORNEYS: Claimant appeared pro se, Troy, MI. For Respondents appeared in-house counsel, Douglas F. Stone, Esq., New York, NY. DATE FILED: June 4, 2001 CASE SUMMARY: Claimant alleged that respondents failed to process her transfer request in a timely manner. Claiman

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTIQN T INC. CASE: 00-00925 Dean Witter Reynolds, Inc., claimant vs. Andrew Vrsalovic, respondent. ATTORNEYS: For Claimant appeared Stephen S. Berkeley, Esq., of the firm Kane & Fischer, Ltd., Chicago, IL. For Respondent appeared Edward V, Sapone, Esq., New York, NY. DATE FILED: March 2, 2000 CASE SUMMARY: Claimant alleged that the respondent participated in claimant's Account Executive tra

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Itzchak Palivathukal and Nancy E. Brim 94-00289 Name of Respondents La Jolla Securities, Inc. First American Biltmore Securities, Inc. Magna Financial Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1994, Claimants Itzchak Palivathukal and Nancy E. Brim ("C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of (he Arbitration Between Prime Investors, IDC. 94-00288 Alexander M. MacNfcol, dajnunt Prime Investors, Inc. (Trime Investors") was represented by Mark D. Murphy, Esq. of Mitchell, Knstl & Lieber, located in Kansas City, Missouri. Respondent Alexander M. MacNfcoI, m ("MacJficol") was nyreacnledl by G. Edwin Proctor, Jr., Esq. of Hexvner Janett &KunbalI, located in Kansas City,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant *- Robert A. Ruggiero 94-00286 Name of Respondents A.R. Baron & Co., Inc. Andrew Bressman REPRESENTATION For Claimant Robert A. Ruggiero ("Claimant"): James J. Greenfield, Esq. of the law firm of Barrick, Rodos & Bacine, Philadelphia, Pennsylvania For Respondents A.R. Baron & Co., Inc. ("Baron") and Andrew Bress

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward M. Haney Case# vs. 94-00343 Name of Respondents Advest, Inc. Robert D. Meyer REPRESENTATION For Claimant, Edward M. Haney ("Claimant"), John S. Izzie, Esq., located in Columbus, Ohio. For Respondents, Advestr Inc. ("Advest") and Robert D. Meyer ("Meyer") (Collectively "Respondents"), William C. Freitag, Esq., in-

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carol A. Cummings Award No. vs. 94-00342 Name of Respondents Kidder, Peabody & Co., Incorporated Robert!. Gulla Mark McAndrew REPRESENTATION For Claimant: Carol A. Cummings, pro se. For Respondents: Richard Kelly, Esq., in-house counsel with Kidder, Peabody & Co., Incorporated, located in New York, New York. CAS

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant S.D. Conn & Company, Inc. 94-00338 Name of Respondent Hugo August Perotti For Claimant S.D. Cohn & Company, Inc.: Robert B. McKay, Esq. for the law firm Carney & McKay, Garden City, NY. For Respondent Hugo August Perotti: Joseph B. LaRocca, Esq., Stamford, CT. CASE INFORMATION Statement of Claim filed: January 25, 1994 Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ot" the Arbitration Between Name of Claimant Lew Lieberbaum & Co., Inc. 94-00332 Name of Respondents Joselito George Villanueva De Castro Edward John Baiter Muriel J. Barter REPRESENTATION For Claimant Lew Lieberbaum & Co.. Inc. ("Lieberbaum"): Jay Marc Israel, Esq. of Lew Lieberbaum & Co., Inc. located in Garden City, New York. For Respondent Joselito George Vil