N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant FideUty Brokerage Services, Inc. National Financial Services Corp. Case* vs. -..»•• • • - • 93-03211 Name of Respondent Michael Hillman Claimants, Fidelity Brokerage Services, Inc. and National Financial Services Corp. ("Claimants"), JylicJiaelG. Shannon, Esq. of Phillips Lytle Hitchcock Blaine & Huber locat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Faith Goldfarb 93-03208 Name of Respondents Peter Goffln Comvest Securities, Inc. REPRESENTATION For Claimant, Faith Goldfarb ("Goldfarb"): Adam Smith, Investors Arbitration Services, Inc. Boca Raton, Florida. For Respondent, Peter Coffin ("Coffin"): Charles E. Scarlett, Esq., Boca Raton, Florida. For Respondent, Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Nusinow 93-03205 Name of Respondent Merrill Lynch. Pierce. Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 17, 1993, Claimant Michael Nusinow, who appeared Pro Se, alleged that on June 23, 1993, Claimant's broker, Mr. Kevin Dickey, informed Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Louis A. & Betty J. Stock Award vs. 93-03200 Name of Respondent Chubb Securities Corporation For Claimant: Louis A. & Betty J. Stock("Claimant"): Stock, pro se. For Respondent: Chubb Securities Corporation ("Chubby-James M. Moore, Esq., of Lindhorst & Dreidame, located in Cincinnati, Ohio. CASE INFORMATION Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James E. Viktora. IRA James E. & Virginia M. Viktora 93-03196 Name of Respondent Griffin Financial Services CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 13, 1993, Claimants James E. & Virginia M. Viktora and James E. Viktora, IRA, who appeared Pro Se, alleged that Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS. INC. In the matter -f the Arbitration Between Name of Claimant is) Urban Best Lewana Best NASD Arbitration No. 93-03191 Name of Respondent __ Prudential Securities, Inc REPRESENTATION For Claimants: J. Leo Federman, Investors Rights Association, Santa Barbara, California and Dennis G. Merenbach, Esq., Santa Barbara, California For Respondent: Michael M. Gless, Esq., Keesa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name nf Claimants Patrick T. Donlon Patti L. Donlon NASD Arbitration vs. #93-03190 of Respondent Prudential Securities, Inc. REPRESENTATION For Claimants: Dennis G. Merenbach, Esq., Santa Barbara, California and Jules Federman, Investors Rights Association, San Barbara, California For Respondent: Ralph S. Blascovich, Esq. Prud

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gerda Murphy 93-03188 Name of Respondents Prudential-Bache Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 23, 1993, Claimant Gerda Murphy, who appeared Pro Se, alleged that she purchased twenty units of the Prudential-Bache Energy Income Limited Partnership f

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Cecil B. Gibson Gibson Direction Drilling, Inc. Claimants NASD Arbitration No. 93-03185 v. Prudential Securities, Inc. Respondent REPRESENTATION For Claimants: Dennis G. Merenbach, Esq., Santa Barbara, California For Respondent: E. Scott Douglas, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMATION Amended Statement of Claim

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/ Counter-Respondent First of Michigan, Division of Fahnestock & Co., Inc. and Case Number: 01-02662 Hearing Site: Troy, Michigan Name of Respondent/Counter-Claimant/ Third-Party Claimant Frank Bluestein v. Third Party Respondent Sharon Ramey REPRESENTATION OF PARTIES First of Michigan, Division of Fahnestock & Co., Inc. ("Claimant 11 o