N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Jacqueline Arundell 93-04431 Name of Rcspondent(s) A.G. Edwards & Sons, Inc. Robert O'Brien REPRESENTATION For Claimant: Jacqueline Arundell ("Claimant"), Linda B. Kenny, Esq. in Fair Haven, New Jersey. For Respondent: A.G. Edwards & Sons, Inc. ("Respondent"), M. Jane Matoesian, Esq., in-house Counsel in St. Louis, M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mark Balakhane 93-04429 Name of Respondents K. Aufhauser and Company, Inc. REPRESENTATION Claimant Mark Balakhane ("Claimant") appeared pro se. For Respondent K. Aufhauser and Company, Inc. appeared R. Keith Aufhauser, President of K. Aufhauser and Company, Inc. CASE INFORMATION Statement of Claim filed: January 1, 199

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between KTamo r>f Hamilton Investments, Inc. 93-04427 of Respondent Sherman Waller REPRESENTATION OF PARTIES Claimant Hamilton Investments, Inc. ("Hamilton"} was represented at the hearing by Michael B. Elman, Esq., Chicago, Illinois. Respondent Sherman Waller ("Waller") was not present at the hearing. (See Other Issues). CASE INFORMATION S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold New 93-04416 Name of Respondent Thomas James Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 26, 1993, Claimant Harold New, who appeared Pro Se, alleged that Respondent Thomas James Associates, Inc., through its registered representative, Alex Arden, was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ruth Gordon Case No. 93-04412 Name of Respondent Josephthal, Lyon & Ross Inc. REPRESENTATION For Claimant, Ruth Gordon, ("Gordon"): Ronald W. Fraley, Esq. of Fraley & Fraley, P.A. of Tampa, Florida. For Respondent, Josephthal, Lyon & Ross Inc. ("Josephthal"): Robert E. Murphy, Esq., Corporate Counsel for Josephthal. CAS

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between PATRICIA ANDERSON, Claimant, v. NASD No. 93-4411 KEMPER SECURITIES, INC., DAN MURPHY, DOES 1 AND 2, Respondents. Representation For Claimant: Douglas Martin, Esq., San Francisco, California For Respondent: Renan Sugarman, Esq. of Kemper Securities, Chicago, Illinois Case Information Statement of Claim filed: October 20, 1993 Claimant's Submi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James J. Burke Case# vs. 93-04410 Name of Respondents Fahnestock & Co., Inc. Harold Fain REPRESENTATION James J. Burke ("Claimant") represented himself at the hearing. For Respondents, Fahnestock & Co., Inc. ("Fahnestock") and Harold Fain ("Fain") (collectively "Respondents"), Charles E. Padgett, Esq., Senior Vice P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anne F. Rose, Claimant v. UBS Financial Services Inc., CIBC World Markets Corp. (also known as CIBC Oppenheimer), San Clemente Securities, Inc., Interfirst Capital Corporation, Richard D. White, Bradford A. Phillips, Otto C. Johnson, Brian F. Porter, Thomas H. Sunderland, Cooke B. Christopher, United Custodial Corporation, US Trust of California, Financial Management Resources, Lisa McD

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (s) Steven E. Sinai Name of Respondent (s) John Nakoski Quest Capital Strategies, Inc. NASD Arbitration No. 93-04408 For Claimant: Anthony J, Horn, Esq., Philadelphia, Pennsylvania For Respondent Quest Capital Strategies, Inc.: Gregory J. Sherwin, Esq., Fields, Fehn & Sherwin, Los Angeles, California CASE INFORMAT

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Barbara M. Carey 93-04399 Name of Respondents) Corporate Securities Group, Inc. Forrest Jay Radin Neil Silver REPRESENTATION For Claimant Barbara M. Carey ("Carey"): Jeffrey Tew, Esq. of Kirkpatrick & Lockhart, Miami, Florida. For Respondents Corporate Securities Group, Inc., ("CSG") and Neil Silver ("Silver"): J