N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS SETS Investment Group, Inc., and Schneider Securities, Inc. Claimants, V. No. 93-04476 Joel Preston, and Steven Varasteh Respondents REPRESENTATION OP PARTIEg Claimants SETS Investment Group, Inc. and Schneider Securities, Inc. ("Claimants") were represented by Robert D. Mitchell, Esq., of the Law Offices of Robert D. Mitchell, P.C., Scottsdale, Arizona. Respondent Steven Vara

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert L. Teitelbaum 93-04473 Name of Respondents Advanced Equity Group, Inc. Allied Capital, Inc. Donald Hector Caban John Joseph Puglisi Craig Medoff For Claimant Robert Teitelbaum ("Teitelbaum") appeared Gregory Herbert, Esq. of the firm Satterlee Stephens Burke & Burke located in New York City, New York. For Res

Arbitration & Mediation N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John G. O'Brien 93-04465 Names of Respondents Robert Todd Financial Corporation, Frank Zangara, Robert B. Fallah, and Todd M. Spehler REPRESENTATION Claimant, John G. O'Brien was represented by William H. O'Brien. Respondent, Robert Todd Financial Corporation did not appear at the hearing.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Helen Czemowski 93-04448 Names of Respondents Dean Witter Reynolds, Inc. Thomas M. Vaughan REPRESENTATION For Claimant, Helen Czemowski ("Czemowski"): Dyanne E. Feinberg, Esq. of Gilbride, Heller & Brown, P.A., Miami, FL. For Respondents,: Dean Witter Reynolds, Inc. ("DWR") and Thomas M. Vaughan ("Vaughan"): Elizabeth T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Keith S. Grover 93-04447 Name of Respondents Barrett Day Securities, Inc. Bruce Michael Rothman For Claimant Keith S. Grover ("Claimant") appeared Evynne Grover, Esq., a sole practitioner located in Melville, New York. For Respondent Barrett Day Securities, Inc. ("Barrett Day") appeared David Berger, President of Barrett Da

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Peter Koehler 93-04440 Names of Respondents William Blair & Co. and Edward Dellin REPRESENTATION Claimant, Peter Koehler ("Koehler") was represented at the hearing by J. William Holland, Esq. of Holland & Holland, Chicago, Illinois. Respondents William Blair & Co. ("Blair") and Edward Dellin ("Dellin") were represented at

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Trinity Investment Trust and 01-02817 Troy, Michigan Empire Financial Group, Inc. George Randy Cupples, and Robert E. Jansen REPRESENTATION OF PARTIES Trinity Investment Trust ("Claimant") was represented by Herb Friske, Trinity Investment Group. Empire Financial Group, Inc. ("Empire") and George Randy Cupples ("Cupples") were represented by William R. Rishoi, Esq

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Theodore Halligan Case Number 93-04439 Njun^fRffiDondente Piper Jaffray, Inc. Marvin Geisness REFRKJENTATIQN For Claimant Theodore Halligan ("claimant") appeared Kathleen M. O'Connell, Esq., with the law firm of Murphy & O'Connell, New York City, New York. For Respondents Piper Jaffray, Inc. (hereinafter "Piper") and Marvin Geisness (hereinafte

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between *_ • . . Name of Claimant Corporate Securities Group, Inc. 93-04437 Name of Respondent William John Vanderwerff • HFPRKSFNTAT1ON For Claimant, Corporate Securities Group, Inc. ("CSG"): Gregory Tendrich, Esq. of Corporate Securities Group, Inc., Boca Raton, Florida. For Respondent, William John Vanderwerff ("VanderwerfF): pro se. CAS

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Sheryl Bishop, Fred Woodrow, and Mark Lewis Claimants, v. No. 93-04434 Prudential Securities, Inc., and J. Stephen Stout Respondents. REPRESENTATION OF PARTIES Claimants Sheryl Bishop, Fred Woodrow, and Mark Lewis ("Lewis") was represented by Sheryl Bishop. Claimants Sheryl Bishop, Fred Woodrow, and Mark Lewis had been previously represe