N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Maia Wojciechowska 93-05066 Name of Respondents Martin Rokeach The Stamford Company. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 7, 1993, Claimant Mam Wojciechowska, who appeared Pro Se, alleged that Respondent Martin Rokeach of the Respondent firm The Stamford Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Ralph A. and Phyllis A. Ferguson JTWROS 93-05065 Name of Respondent(s) Herman Epstein William Brito Investors Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 7, 1993, Claimants Ralph A. and Phyllis A. Ferguson, who appeared Pro Se, alleged that Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant James A. Brinton, M.D. v. NASD Arbitration No. 93-05056 Name of Respondents Ronald P. Thon and Titan Value Equities Group, Inc. For Claimant: Michael A. Oswald, Esq., Oswald & Yap Irvine, California For Respondents: Fredrick A. Rafeedie, Esq., Jones, Bell, Simpson & Abbott, Los Angeles, California CASE INFORMA

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant/CounterRespondent Case Number: 01-02862 Prudential Securities, Inc. Name of the Respondent/CounterClaimant Hearing Site: Chicago, Illinois Michael E. Egan REPRESENTATION OF PARTIES Claimant/CounterRespondent Prudential Securities, Inc. ("Prudential") was represented by Steven P. Gomberg, Esq. of the firm Rooks, Pitts, and Poust located in Chicago, Illi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Samuei C. Harris and Beth K. Harris, Trustees/ Harris Family Trust Claimants, v. No. 93-05055 Craig Hallum, Inc., Bear Stearns Securities Corp., and Marc Kozberg Respondents. REPRESENTATION QF^ARTIES Claimants Samuel C. Harris and Beth K. Harris, Trustees/Harris Family Trust ("Claimants") were represented by Sandra K. Kensy, Esq., of Frank R. Berman, P.A., Minneapolis, Minneso

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeffery S. Woodford Case No. 93-05053 Name of Respondent Raymond, James & Associates, Inc. REPRESENTATION For Claimant, Jeffery S. Woodford ("Woodford"): Ronald W. Fraley, Esq. of Fraley & Fraley, P.A., Tampa, Florida. For Respondent, Raymond James & Associates, Inc. ("RJA"): Michael R. Alford, Esq. of RJA, Tampa, Florida.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Kenneth R. and Sydney L. Langosch NASD Case No. 93-05118 Name of Respondents Smith Barney Shearson, Inc. David Allen Buid Timothy Earl Griffith Alexander £. Karkenny Carleen Gelli REPRESENTATION Claimants, Kenneth R. and Sydney L. Langosch ("Claimants"), appeared pro se. For Respondents, Smith Barney Shearson,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^) Michael T. DeBusscheree 93-05117 Name of Respondents') Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 9, 1993 Claimant Michael T. DeBusscheree, who appeared Pro Sse, alleged that Respondent Dean Witter Reynolds, Inc. failed to sell 500 shares of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Robert M. Roney NASD Arbitration No. 93-05110 Name A. G. Edwards & Sons, Inc. For Claimant: In Pro Se For Respondent: William S. Port, Esq. - A. G. Edwards & Sons, Inc. - St. Louis Missouri CASE INFORMATION Statement of Claim filed: December 10, 1993 Claimants' Submission Agreement signed: December 3, 1993

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Pauline E. Spitz-Herbach 93-05108 Name of Resoonden^ Corporate Securities Group, Inc. Claimant Pauline E. Spitz-Herbach ("Claimant") appeared pro se. For Respondent Corporate Securities Group, Inc. ("Respondent") appeared Steven Jaloza, the Office Manager of Corporate Securities Group, Inc.'s branch office located in Great Neck, Ne