N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Angel De La Iglesia, Individually and as Trustee for Angel De La Iglesia IRA 93-05184 Name of Respondents Kidder, Peabody & Co., Incorporated Albeit Mathias Krohn, Jr. Theodore Walter Kilar REPRESENTATION Claimants were represented at the hearing by William S. Shepherd, Esq., Houston, Texas. Respondents were repres

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Ellis J. and Seena I. Morton 93-05175 Name of Respondent^) The Robinson-Humphrey Company, Inc. Frank Stevenson REPRESENTATION For Claimants Ellis J. and Seena I. Morton: J. Pat Sadler, Esq. of the law firm of Sadler and Associates, Inc., Atlanta, GA. For Respondents The Robinson-Humphrey Company, Inc. and Frank Stevenson

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Robert J. Schmollinger 93-05174 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc David Finkel Joseph P. DiFilippo REPRESENTATION Claimant Robert J. Schmollinger ("Claimant") was represented at the hearing by Brian Carlis, Esquire, of the law firm of Stark & Stark, P.C., Princeton, New Jersey.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Albert Fames, AL-PAR, Inc. and ATC Company and 93-05173 of Resondent Stratum Oakmont, Inc. Biltmore Securities, Inc. Kevin Loomis Bud Clarke REPRESENTATION OF PARTIES Albert Fames, AL-PAR, Inc. and ATC Company (collectively as "Claimants") were represented by John A. Dienner, Esq., Chicago, Illinois. Stratton

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Jeanne C. Snyder NASD Arbitration #93-05170 vs. Napne of Respondents John Walter Baer American Investors Company Associated Planners Securities Corporation REPRESENTATION For Claimant: Irving Pfeffer, Esq., San Francisco, California For Respondents: David S. Markun, Esq., and Robert L. Gonser, Esq., Zelle & Larson

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Burke Rock 93-05169 Name of Respondents Olde Discount Corporation; Tim Biesnahan REPRESENTATION For Claimant: Burke Rock ("Rock") appeared pro se. For Respondents: Olde Discount Corporation ("Olde Discount") and Tim Bresnahan ("Bresnahan") were represented by Ina N. Otto, Esq. of Olde Discount Corporation, located in Detroit, Mi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Maria Roberson Wierzel Names of the Respondents Prudential Securities Incorporated Bret Tuckman Case Number: 01-02850 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Maria Roberson Wierzel, hereinafter referred to as "Claimant': Delmer C. Gowing III, Esq., Delray Beach, Florida until his withdrawal as counsel on or abou

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Matilde E. Hicks and 93-05158 Name of Respondent Dickinson & Co. REPRESENTATION OF PARTIES Matilde E. Hicks ("Claimant") was represented by Bruce Pearson, Fargo, North Dakota. Dickinson & Co. ("Respondent") was represented by David C. Lundsgaard, Esq., Dorsey & Whitney, Minneapolis, Minnesota. CASE INFORMATION The Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Vincent F. Buttigieg and Mary S. Buttigieg 93-05156 Name of Respondents Roney & Co.; Derrell A. Saykally, Jr. REPRESENTATION For Claimants: Vincent F. Buttigieg and Mary S. Buttigieg ("Buttigieg") were represented by Mark Qukm, Esq. of the Law Office of Dennis Krolczyk, P.C., located in Manistee, Michigan. For Respondents

NASD Arbitration No. 93-5227 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of CIaimant(s> Theresa A. Smith Name of Respondents) Gruntal & Co., Incorporated and Gregory LeSavoy REPRESENTATION For Claimant: Stewart H. Foreman, Esq., Griffinger, Freed, Heinemann, Cook & Foreman, San Francisco, CA For Respondent: Donald N. Cohen, Esq., Assistant General Counsel, Gruntal & Co., New