NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between ROBERT K. MATSUMOTO, Claimant, v. NASD No. 93-4157 SMITH BARNEY SHEARSON, INC. and GLENN STRAUSS, Respondents. Representation For Claimant: John Allen, Esq. and Dennis Villavicencio, Esq. of Law Offices of John Allen, Carlsbad, California For Respondent: David Bartholomew, Esq. and Lisa Donahue, Esq. of Keesal, Young & Logan, Long Beach, Califor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Patricia LaMendola Mark C. LaMendola as Trustee for the Mark LaMendola IRA 93-04121 Name of Respondents) Merrill Lynch Pierce Fenner & Smith Inc Robert Edwards REPRESENTATION Claimants, Patricia LaMendola ("P. LaMendola") and Mark C. LaMendola as Trustee for the Mark LaMendola IRA ("LaMendola IRA") were represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Robert C. Blair 93-04118 Name of Respondent(s) Cowen & Company Ralph P. Hamberg REPRESENTATION Claimant, Robert C. Blair, ("Claimant") appeared pro se. Respondent, Cowen & company ("Cowen"), was represented by Peter Byer, Esq., In-house Counsel. Respondent, Ralph P. Hamberg ("Hamberg"), was represented by Peter Byer,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Allan J. Kogan IRA w/First Trust Corp. TTEE, Allan J. Kogan Money Purchase Plan w/First Trust Corp. TTEE, and Miriam H. Kogan IRA w/First Trust Corp. TTEE Claimants, v. No. 93-04117 Peter Reardon, Lone Mountain Securities, Inc., and Pinnacle Peak International Asset Management Company, Respondents. REPRESENTATION OF PARTIES Claimants Allan J. Kogan IRA w/First Trust Corp. TTEE, Al

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Suzanne A. Lepage and 93-04112 Name of Respondent Patrick Wayne Malloy REPRESENTATION^ PARTIES Suzanne A. Lepage ("Claimant") appeared pro se. Patrick Wayne Malloy ("Respondent") did not appear at the hearing. CASE INFORMATION The Statement of Claim was filed on or about October 7, 1993. Submission Agreement of Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) PaineWebber, Inc. 93-04107 Name of Respondent^ Jason David Dennis Diliey CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 7, 1993, Claimant PaineWebber, Inc., through its in-house counsel, Garry J. Stegeland, Esq., alleged that Respondent Jason David Dennis Diliey failed to p

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Scnttsdale Securities, Tnc. and Russell r & Dinah TV PiVe NASD Case Number 93-04104 and Allen Snrev OF Claimant, Scottsdale Securities, Inc., and Third-Party Respondent, Allen Sorey, were represented by John C. Garavaglia, Esq. of Raskas, Ruthmeyer, Pomerantz, Wynne, Garavaglia & Susman, St. Louis, MO. Respondents, Russell C. and Dinah D.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Anthony N. & Alice D. Siciliano 93-04103 Name of Respondents A.G. Edwards & Sons, Inc. Gary Stark REPRESENTATION For Claimants: Adam S. Doner, Esq. and Lawrence Kiayman, Esq., of Davis, Gordon & Doner. P.A., West Palm Beach, Florida. For Respondents: M. Jane Matoesian, Esq., A. G. Edwards & Sons, Inc., St. Louis, Misso

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: HSBC Securities (USA) Inc. (Claimant) v. Seefield Investments, Joel Kaminer and Tracy E. Kruckenberger (Respondents) Case Number: 01-02799 Hearing Site: New York, New York Nature of the Dispute: Member vs. Non-Member and Associated Persons. REPRESENTATION OF PARTIES Claimant HSBC Securities (USA) Inc. ("HSBC") hereinafter referred to as "Claimant": Law Offices of Andr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Alarik J. and Willanetta H. Bakk 93-04099 Names of Respondents The Principal/Eppler Guerin & Turner, Inc. and John Wayne Ezell REPRESENTATION Claimants, Alarik J. and Willanetta H. Bakk were represented by Terrence M. Fruth, Esq. and Vincent D. Louwagie, Esq. of Fruth & Anthony, P.A., Minneapolis, MN. Respondent, The Prin