N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stuart Elkins 93-05150 Name of Respondents Sbearson Lehman Brothers. Inc. n/k/a Smith Barney, Inc. Rod Garner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 14, 1993, Claimant Stuart Elkins, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, Inc. n/k/a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sidi Stemfeld 93-05147 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant Sidi Sternfeld ("Claimant") appeared David B. Wasserman, Esq., of the law firm of Wasserman & Schachman, located in Bloomfield, New Jersey. For Respondent Shearson Lehman Brothers, Inc. ("Respondent") appeared Ann Parry, Esq

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hortense Nicholson 93-05145 Name of Respondent Dean Witter Reynolds Inc. George Knight » REPRESENTATION For Claimant Hortense Nicholson ("Claimant") appeared John J. Sheehy, Esq. of the law firm Sheehy & Sheehy, Jersey City, New Jersey. For Respondents Dean Witter Reynolds, Inc. ("Dean Witter") and George Knight ("Knigh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David M. Parks Case No. 93-05144 vs. Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION For Claimant: Steven D. Irwui, Esq., Markel, Schafer & Means, P.C., 1120 Grant Street, Pittsburgh, PA, 15219 For Respondent: Barry J. Shulock, Esq., Reed Smith Shaw & McClay, 435 Sixth Avenue, Pittsburgh, PA, 15219

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name pjf Claimants Milton and Lucille Monette NASD Arbitration v. No. 93-05141 Name of Respondents Titan/Value Equities Group, Inc. and Dan R. Dever For Claimants: Michael Paule, Investors Arbitration Services, Inc., Woodland Hills, California For Respondents: Donald P. Wagner, Esq., Wagner & Lichman, Irvine, California CASE I

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-02854 Robert Hamby Bobbie Hamby Names of the Respondents Hearing Site: Atlanta, Georgia D.E. Frey & Company, Inc. William Piontek REPRESENTATION OF PARTIES Robert Hamby and Bobbie Hamby, hereinafter collectively referred to as "Claimants," appeared pro se. For Respondent D. E. Frey & Company, Inc. ("Frey"): Larry D. Hayden, Larry D. Hayden & A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Guy C. Glaader 93-05139 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Douglas S. LaValle REPRESENTATION For Claimant, Guy C. Glander ("Glander"): Richard W. Groner, Esq. of Snyder, Groner & Schieb, Venice, Florida. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc. ("MLPFS"): Francis M. Curran, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Alba D. Leone and Gina Goehl 93-05136 Name of Respondent(s) William Daniel Google First Montauk Securities Corp. Pacific Southern Securities, Inc. REPRESENTATION For Claimants: Bobby C. Aniekwu, Esq., of Bobby-Thompson C. Aniekwu & Associates. Respondent William Coogle appeared pro se. For Respondent First Montauk Se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Carlo and Tamsen DiCarlo 93-05200 Name of Respondents Oppenheimer & Co., Inc. Patrick S. Jage Claimants Carlo and Tamsen DiCarlo ("Claimants") were represented at the hearing by Lloyd Kadish, Esq. of Lloyd Kadish & Associates, Ltd., Chicago, Illinois. Respondents Oppenheimer & Co., Inc. ("Oppenheimer") and Patrick S. Jage ("Ja

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 93-05189 Name of Respondent Alexander Haverstick REPRESENTATION For Claimant Prudential Securities, Inc. appeared Gilbert Boyce, Esq. with the law firm Kutak Rock, Washington, D.C. For Respondent Alexander Haverstick appeared Joel Fonnan, Esq. with the law firm Bondy & Schloss, New York City, New