N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Joan Lee Flowers and Wade G. Flowers 93-03574 Name of Respondent(s) Shearson Lehman Brothers, Inc. Fred Ronald Brown Matthew Harrison Merritt, Sr. Bruce Harrington Cox Josephine R. Esquivel REPRESENTATION For Claimants Joan Lee Flowers and Wade G. Flowers: James Stuart Youngblood, Esq., Atlanta, GA. For Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between CHARLES A. DEYLE, NASD Arbitration No. 93-03573 Claimant, v. J.W. GANT AND ASSOCIATES, INC., WILLIAM ERASER and DONALD B. GASGARTH, Respondents. Representation For Claimant: Charles Deyle, pro se, San Diego, California For Respondent William Eraser: David Zisser, Esq. of Berliner, Kaplan, Zisser & Walter, Denver, Colorado For Respondent J. W

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John P. Milcetich 93-03568 Name of Respondents Hibbard Brown & Co. Gary G. Peirce CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 9, 1993, Claimant John P. Milcetich, who appeared Pro Se, alleged that Respondent Gary G. Peirce, as an employee of Respondent Hibbard Brown

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ivor Katz and Myron Katz, JTWROS, Claimants v. Adolph Komorsky Investments, Peter W. Adolph, and Mark E. Komorsky, Respondents Case Number: 01-02732 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Ivor Katz ("I. Katz") and Myron Katz ("M. Katz"), JTWROS, hereinafter referred to as "Claimants": Sydney E. Hurwitz, B.A., LLB.B., Melamed & Hurwitz Inc., Johannesburg, Sou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 94-03566 Name of Respondent Walter R. Carey REPRESENTATION For Claimant Prudential Securities, Inc. ("Claimant") appeared Christopher Freeze, Esq. of Prudential Securities, Inc. located in New York, New York. Respondent Walter R. Carey ("Respondent") appeared Pro Se. CASE INFORMATION Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Phillip N. & Ruth Stamas Case vs. #93-03564 Name of Respondents Gruntal & Co., Inc. Patrick L.F. Maloney REPRESENTATION For Claimants, Phillips and Ruth Stamas ("Claimants"), Luke Stanton, Esq., from the law firm of Scimone Stanton & Connell. For Respondents, Gruntal & Co., Inc. ("GruntaTX Emilia M. DeMeo, Esq., in-hou

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between PAINEWEBBER, INCORPORATED, Claimant and Counter-Respondent, v. NASD No. 93-3549 JAMES B. RYDEU, Respondent and Counter-Claimant. Representation For Claimant: Alice Jump, Esq. and Joseph Generclli, Esq. of PaineWebber, Inc., New York, N. Y. For Respondent: Will Kemp, Esq. of Harrison, Kemp & Jones, Las Vegas, Nevada Case Information Statement of

NASD Arbitration No. 93-03545 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(^) Cindy Ahlquist Name of Respondent(a) PaineWebber, Incorporated Carlton Brien Pace Annette I. Brindley REPRESENTATION For Claimant: Cindy Ahlquist, San Jose, California For Respondents: Catherine J. Pratt, Esq., PaineWebber Incorporated, Los Angeles, California CASE INFORMAT

N.A.S.D. CONSOLIDATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jean C. Covey 93-03728 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Dena M. Miller and In the Matter of the Arbitration Between Name of Claimant Charles D. Covey 93-03729 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Dena M. Miller CASE SUMMARY

N.A.S.D. CONSOLIDATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jean C. Covey 93-03728 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Dena M. Miller and In the Matter of the Arbitration Between Name of Claimant Charles D. Covey 93-03729 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Dena M. Miller CASE SUMMARY