N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Janney Montgomery Scott Inc. Case No. 93-05107 Name of Respondent Joseph Coleman REPRESENTATION For Claimant, Janney Montgomery Scott Inc. ("Claimant"), appeared Ashton G. Eldredge, Jr. In-house Consel located in Philadelphia, Pennsylvania. Joseph Coleman ("Respondent"), appeared Pro Se. CASE INFORMATION Statement of Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph J. Rodich, Sr. & Beulah F. Rodicb 93-05106 Name of Respondents Robert Edwin Henning Michael J. Mitchell CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 10,1993, Claimants Joseph J. Rodich, Sr. and Beulah F. Rodich, who appeared Pro Se, alleged that Respondents Robe

N.A.S.D. AWARD -3 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Muhua Yu Case# vs. 93-05105 Name of Respondents Investors Associates, Inc. Nick Hua REPRESENTATION Claimant, Muhua Yu, represented herself at the hearing. For Respondents, Investor's Associates, Inc., Lawrence R. Gelber, Esq. from the law firm of Beigel Schy Lasky Cohen Rifkind et al. located in New York, New

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Investment Management & Research, Inc. 93-05104 Name of Respondentfs) Peter C. Bucchieri REPRESENTATION For Claimant: John N. Critchlow, Esq. For Respondent: Grover S. Parnell, Esq. of the law firm of Davis Malm & D'Agostino. CASE INFORMATION Statement of Claim filed December 10, 1993. Claimant's Submission Agreement

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Ted Phipps and 01-02861 Phoenix, Arizona Name of Respondents Heritage West Securities, Inc. Stewart L. Michaels REPRESENTATION OF PARTIES Ted Phipps ("Claimant") was represented by Michael Salcido, Esq., Gust Rosenfeld PLC, Phoenix, Arizona. Heritage West Securities, Inc. ("Respondent Heritage West") was represented by Robert D. Mitchell

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond J. Raia 93-05103 Name of Respondents Tamaron Investments, Inc. Anthony Imbo Joan Demarco REPRESENTATION For Claimant Raymond J. Raia ("Claimant") appeared E. Michael Rosenstock, Esq. located in Rockville Center, New York. For Respondent Tamaron Investments, Inc. ("Tamaron") appeared David Zisser, Esq. with t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bernard J. Strassberg 93-05099 Name of Respondents David Schneider M. Rimson & Co., Inc. Moe Rimson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 10,1993, Claimant Bernard J. Strassberg, who appeared Pro Se, alleged that Respondents M. Rimson & Co., Inc., Moe Rimson

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Njune of Claimants Edilio Gennari; Federico Gennari; and Irene Gennari 93-05096 Comerica Investment Service, Inc. REPRESENTATION For Claimants: Claimants Edilio Gennari, Federico Gennari and Irene Gennari were represented by John F. Chambers, Esq. of Chambers Steiner Mazur Omstein & Amlin, located in Detroit, Michigan. For Respondent: Comerica

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert L. Secrist 93-05122 Name of Respondents Peter M. Harrington Harrington Securities Corporation REPRESENTATION For Claimant Robert L. Secrist appeared Michael A. Brady, Esq., Hagerty & Brady, Buffalo, New York. For Respondents Harrington Securities Corporation ("Harrington Securities") and Peter M. Harrington ("Har

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Richard D. Brown and Elizabeth H. Brown 93-5155 Names of Respondents B.C. Ziegler & Co. and Curt Mahnke REPRESENTATION Claimant Richard D. Brown ("Brown") appeared at the hearing on behalf of himself and his wife Elizabeth H. Brown. Respondents B.C. Ziegler & Co. ("Ziegler") and Curt Mahnke ("Mahnke") were represented