N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Wilshire Company William J. Spivock Visit Taveethamcharoen 93-04279 Name of Respondents Summit Investment Corporation Phillip T. Huss CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 18, 1993, Claimants Wilshire Company, William J. Spivock and Visit Taveethamcharoen, th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marilyn Johnson 93-04267 Name of Respondents Dean Witter Reynolds Inc. Roney &Co. Marie Flash For claimant Marilyn Johnson ("claimant") appeared George L.^McGaugbey, Esq. of McDonald, Hopkins, Burke & Haber Co., Cleveland. Ohio: For respondent Dean Witter Reynolds Inc. ('Dean Witter") appealed Michael N. Ungar, Esq. of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barry L. Hines 93-04260 Name of Respondents Albert Palmiere, m Steven Goodman Joseph Chester John Charles Ferguson REPRESENTATION Claimant, Barry Hines ("Claimant"), appeared pro se. Respondent, Albert Palmiere, HI ("Palmiere"), appeared pro se. Respondent, Steven Goodman ("Goodman"), appeared pro se. Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Zhengzhou Pan-China Arts & Crafts Co., Ltd., (Claimant) vs. Malario Corp. d/b/a Shamrock Financial Services, Edward Cohan, John Huang, Dennis Maloney, and Michael Wu, (Respondents) Case Number: 01-02773 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Zhengzhou Pan-China Arts & Crafts Co., Ltd., hereinafter referred to as "Claimant": Saul Roffe, Esq., Sirota

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between SCOTT LOWRY and MORTON KIRSCHENBAUM, Claimants, v. NASD No. 93-4256 EXPANSION CAPITAL SECURITIES and MICHAEL MEYER, Respondents. Representation For Claimants: Kenneth Nemzer, Esq., Tiburon, California For Respondents: Edward King, Esq. and Susan Stark, Esq. of the Law Offices of Edward King, San Francisco, California Case Information Stateme

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Helen E. Glenn and 93-04255 Name of Respondents Lawrence W. Durbin REPRESENTATION OF PARTIES Helen E. Glenn ("Claimant") appeared pro se. Lawrence W. Durbin ("Respondent") did not appear at the hearing. CASE INFpRMATION The Statement of Claim was filed on or about October 14, 1993. Submission Agreement of Claimant Hel

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Henry L. Rust 93-04254 Najme of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney, Inc. Michael Brandes REPRESENTATION For Claimant Henry L. Rust ("Claimant"): appeared pro se For Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney, Inc. ("Shearson") and Michael Brandes ("Brandes"): Sean J. Coughlin, A

N.A,S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names pf Claimants Timothy J. Casey and Suzanne R. Casey 93-04239 Names of Respondents Rose Securities Corporation Mitchell Arthur Witt William A. Goldsmith AllanS. Bird Jules Silver David Cohen REPRESENTATION For Claimant: Timothy J. Casey and Suzanne R. Casey ("the Caseys"): Guy M. Burns, Esq. & Carol B. Robinson, Esq. of John

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants H. Thomas and Mary V. Foley 93-04238 Name of Respondents Wertheim Schroder & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 14, 1993, Claimants H. Thomas and Mary V. Foley, who appeared Pro Se, alleged that they purchased and sold 1000 shares of Pace Pharmaceutical

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bear Stearns & Co., Inc. Case vs. #93-04236 Name of Respondent Scott Son REPRESENTATION For Claimant, Bear Steams & Co., Inc. ("Claimant"), Jamie C. Rosenberg, Esq. and Nicholas Notias, Esq., from the law firm of Rosenberg Singer & Bienenstock, located in New York, New York. Respondent, Scott Son ("Respondent"), represe