N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Peggy J. Moore 93-04781 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 18,1993, Claimant Peggy J. Moore, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc., through its registered representative,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between V Benjamin Kashkin, Andrew Klick and Mark Polios, Claimants, vs. Case # 93-04778 Robert Todd Financial Corp., Respondents. REPRESENTATION For Claimants, Benjamin Kashkin, Andrew Klick and Mark Polios, Morgan Bentley, Esq., Newark, N,J. The Respondent did not appear at the hearing. CASE BVFOR|V1ATION Claimants' Joint Statement of Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Galen Hayes & Diane Hayes 93-04770 Name of Respondents Nathan Lane Bill Calkins CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 16,1993, Claimants Galen & Diane Hayes, who appeared Pro Se, alleged that Respondents Nathan Lane ("Lane") and Bill Calkins ("Calkins") made mis

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Robert E. Mines, M.D., and William Jenkins, M.D. NASD Arbitration Individually and as Trustees #93-04762 For The Noni Oakland Pediatric Medical Group, Inc.. Pension Plan vs. Name of Respondent} Prudential Securities, Inc. Hugh Lenahan REPRESENTATION For Claimants: Janet Braver, Esq., Vogl & Meredith, San Fran

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant David R. Barber and 93-04759 Name of Respondents Gruntal&Co., Inc., John R. Eaton and Evan Taber REPRESENTATION OF PARTIES David R. Barber ("Claimant") was represented by William D. Nelson, Esq., Robinson, Waters, O'Dorisio & Rapson, Denver, Colorado. Gruntal & Co., Inc. ("Gruntal"), John R. Eaton ("Eaton") and Evan T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Mario and Jacqueline LoBasso Name ofRespondents) D.H. Blair & Company, Inc. Thomas Gallo PUBLIC 93-04751 For Claimants: Brian A. Carlis, Esq. of the law firm of Stark & Stark, Princeton, NJ. For Respondent: D.H. Blair & Co., Inc. ("Blair"): Justin Y. K. Chu, Esq. of D.H. Blair & Co., Inc. of New York, NY. Thomas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Nnme of Claimant Janeen Ashby 93-04839 Hying of Respondents Berthel Fisher and Company Financial Services, Inc. and Craig Halfpop REPRESENTATION OF PARTIES For Claimant, Janeen Ashby ("Claimant") at the hearing: Martin Petersen, Esq. of Klinkenborg, Hansmann & Mansheim, Parkersburg, Iowa. For Respondents, Berthel Fisher and Company Financial Services, Inc. ( n Berthel"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Vadim Roytman and Irena Kodes 93-04829 N.ame of Respondents Olde Discount Corp. and Gary Handzel Representation of Parties Claimants, Vadim Roytman and Irena Kodes ("claimants") were represented at the hearing by James C. Eccleston, Esq. of Uscian & Eccleston, Chicago, Illinois. Respondents, Olde Discount Corp. and Gary Handze

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Case Number 93-04825 NameofResDjmjJent Gary Bickham REPRESENTATION For Claimant Prudential Securities, Inc. (hereinafter referred to as "Prudential" or "claimant") appeared Donna Ross Daniels, Esq., in-house counsel with Prudential. For Respondent Gary Bickham (hereinafter referred to as "respondent"

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Garrick A. Peters and Loren S. Peters, Claimants v. Equity Trust Advisors, Inc., Marc J. Riviello and Henry D. Davidson, Respondents Case Number: 01-02839 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants Garrick A. Peters and Loren S. Peters: For Respondent Equity Trust Advisors, Inc. For Respondent Marc J. Riviello: For Respondent Henr