N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mississippi Gulf Coast Regional Wastewater Authority 93-03411 Name of Respondent Shearson Lehman Brothers, Inc., now known as Smith Barney Shearson Inc. REPRESENTATION For Claimant: Mississippi Gulf Coast Regional Wastewater Authority ("Mississippi Gulf) was represented by William F. Ray, Esq. and George R. Fair, Esq. of Watkin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Matthew J. Otchy, Deiores Russo, Mary Hern, and Gerard H. Killenberger, (Claimants) vs. Polaris Financial Services, Inc. and H.D. Vest Investment Securities, Inc., (Respondents) vs. Jack A. Moloney (Third-Party Respondent) Case Number: 01-02688 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Matthew J. Otchy ("Otchy"), Deiores Russo ("Russo"), Mary Hern ("Hern"

N.A.S.D. AWARD NATI2MAL ASSOCIATION G? g"CtT3TT":gg "gaLE In the matter of the Arbitration Between of Caimant: ( .q) Burton Spurloclc NASD Arbitration ' ' :..i No. 93-03403 of Resoondenc(si Investors Associates, Inc. For Claimant: Oavid Liebrader, Esq. ,- Investors Arbitration Servicesanlnc,.,. Woodland . _For Respondents: Lawrence R. Gelber, Esq., Beige 1 Schy Lasky Rifkind Goldberg FertiJc & Gelber Statement of Claim filed?..-.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Margaret L. Ibex c - ••••- 93-03402 Name of Respondents James D. Stay mates CASE SUMMARY In a claim fited with the National Association of Securities Dealers, Inc. on August 26, 1993, Claimant Margaret L. Ibex, who appeared Pro Se, alleged that Respondent James D. Staymates sold her an interest in the Damson 1981-82 Oi

M.A.S.D. AWARQ ASSOCIATION OF SECURITIES PETAT.RBS, INC.. In the matter of the Arbitration Between Name of Claimant: la) Eleazar. Magdalleno Name of Raqpor^dent. (a\ Bruce Alan Biddick John Kenney Berscht Lyn Flanagan NASD Arbitration No. 93-03399 For Claimant: Eleazar Magdalleno, Union City, California For Respondent Bruce Alan Biddick: Antoine M. Devine, Esq., Dennis & Coscia, San Diego, California For Respondent John Kenney Be

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maner of the Arbitration Between Name of Claimant Susan Bell 93-03398 Name of Respondent Your Discount Broker, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 30, 1993, Claimant Susan Bell, who appeared Pro Se, alleged that Respondent Your Discount Broker, Inc. transferred funds, without her knowledge or consent, from her o

N A.S.D. AWARD NATTONAT. ASSnTTATION DF SFnTRTTTRS nF.AT.FTJ5;, TNC In the matter of the Arbitration Between Name David G. Cade NASD Arbitration No.93-03392 nf Respondent Zions First National Bank RKPRRSF.NTATTON For Claimant: Daniel Robert Bartley, Esq., Larkspur, California, and Sharon Green, Esq., Las Vegas, Nevada. For Respondent: T. Richard Davis, Esq., and James R. Holbrook, Esq., Callister Nebeker & McCulIough, Salt Lake City,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Eric Chwatt Mitchell Chwatt 93-03388 Name of Respondents S.D. Cohn and Co., Inc. John J. Baratta REPRESENTATION For Claimants: Daniel A. Eigennan, Esq. of Homer & P.C. located in New York, New York. For Respondent S.D. Cohn & Co., Inc.: Charles M. O'Rourke, Esq., Hempstead, New York. For Respondent John J. Baratta: Ala

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jeff R. Moore, M.D. 93-03386 Name of Respondents Prudential Securities, Inc. Gordon McOwen . ... • CASE SUMMARY In a claim filed with the National Association of &aniritie? Dealers, Inc. on August 27, 1993, Claimant Jeff R. Moore, M.D., who appeared Pro Se, alleged that on August 9, 1985, he purchased a Western Savings and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) McLaughlin,Piven,Vogel Securities. Inc. 93-03503 Name of Respondent^ Nile J. Steigerwald Dennis M. Hellwig REPRESENTATION For Claimant McLaughlin, Kven, Vogel Securities, Inc. ("McLaughlin"): Christopher Coss, Esq. and Michael J. Fortunate, Esq. of the law firm of Rubin & Associates. For Respondents Nile J. Steigerwa