N.A.S.D. AWARD * NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roger Bolduc, Sr. Award # vs. 93-05004 Name of Respondents Ellen L. Schowalter Patricia Ann Seymour Titan/Value Equities Group, Inc. Jonathan Alan & Co. , Inc. For Claimant, Roger Bolduc, Sr. ("Claimant"), Howard M. Rosenfield, Esq., located in Avon, Connecticut. For Respondents, Ellen L. Schowalter ("Schowalt

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Donald V. Peruski and 01-02867 Southfield, Michigan Thomas M. Dolan Society for Lifetime Planning, and Vestax Securities Corporation REPRESENTATION OF PARTIES Donald V. Peruski ("Claimant") was represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. Thomas M. Dolan (" Dolan"), Society for Lifetime Planning ("SLP") and Vestax Securities Corporation ('Ves

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Werner Heilinger, Claimant, v. No. 93-05000 William Hecht, and R. G. Dickenson & Co., n/k/a Dickenson & Co. Respondents REPRESENTATION OP PARTIES Claimant Werner Heilinger ("Claimant") was represented by David Liebrader, Esq., of Investors Arbitration Services, Inc., , California. Respondents William Hecht and Dickenson & Co. ("Respondents") were represented by David Jorda

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rubin Edelstein 93-04999 Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. REPRESENTATION For Claimant Rubin Edelstein ("Claimant") appeared Eric S. Edelstein, Esq., a sole practitioner located in Hollis, New York. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Samuel A. Turvey

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Noraia Hendrick, Trustee NASD Arbitration v. No. 93-04998 Name of Respondent^) Kennedy, Cabot & Company and Erik Gene Nedrud REPRESENTATION For Claimant: Michael Huberman, Greenbaum & Ferentz, Newport Beach, California For Respondents: George H. Kupper, Kennedy, Cabot & Co., Beverly Hills, California CA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roger H. and Sherry T. Tumlin 93-05050 Name of Respondents Quick & Reilly, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 6,1993, Claimants Roger H. and Sherry T. Tumlin, who appeared Pro Se, alleged that they placed an order for 2500 shares of Atlas Corp. stock for Mr.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary Ellen Hirsh 93-05048 Name of Respondent Fidelity Brokerage Services, Inc. (Fidelity Investments) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 7, 1993, Claimant Mary Ellen Hirsh, who appeared Pro Se, alleged that Respondent Fidelity Brokerage Services, Inc. failed to ab

NASD Arbitration No. 93-05046 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(si Alberto C. Alcantara Name of Respondent(s) Cullum & Sandow Securities, Inc. Louis Milton Strauss REPRESENTATION For Claimant: Michael Huberman, Esq., Greenbaum & Ferentz, Newport Beach, California For Respondents: Ben L. Krage, Esq., Kasmir & Krage, L.L.P., Dallas, Texas CA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Jo Minor 93-05044 Name of Respondents Prudential Securities, Inc. and Patrice A. Mackie REPRESENTATION OF PARTIES Claimant Jo Minor ("Minor") was represented at the hearing by Henry Field, Esq. of the Law Offices of Henry Field, Ltd., Chicago, Illinois. Respondent Prudential Securities, Inc. {"Prudential") was represented at the hearing by Christopher M. Mone, Esq. of Prudenti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas M. Joyce Case tt vs. 93-05039 Name of Respondent Legg Mason Wood Walker, Inc REPRESENTATION For Claimant, Thomas M. Joyce ("Claimant"), appeared Igor Sikorsky, Esq., located in Rocky Hill, Connecticut. For Respondent, Legg Mason Wood Walker, Inc. ("Respondent"), appeared William S. Rogers, Esq. of Tyler, Cooper &