N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Larry J. Laughiin 93-02961 Name of Respondents Advance Equity Group, Inc. Aaron Fischman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 30. 1993, Claimant Larry J. Laughiin. who appeared Pro Se, alleged that he was sold the stock Big Boy Pac. Inc. New ("BGBP") with a promise

INDUSTRY N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc 93-02952 Name of Respondent Stephen J. Cooper REPRESENTATION For Claimant: David L. Becker, Esq:, of the law firm of Kutak Rock, New York, NY. The Respondent did not appear. CASE INFORMATION Statement of Claim filed: July 28, 1993. Claimant's Submission Agreement signed on: Jul

NASD Arbitration No. 93-02949 N . A . S . D . AWARD NATIONAL ASSOCIATION OF gSCUT^T'Trg r"ALS3S . IMC.. Ir. the matt.tr ci the Arbitration Between Kfamj-> of.. Claimant: * s ) Matthew Wick Mame of Regpnndgnt (s) IDS Financial Services, Inc. Cari Lyn Stanton REPRE S ENTATI ON For Claimant: Peter 3. Myers, Esq., Fritz & Myers, San Francisco, California For Respondents: Gary R. Irwin, Esq., IDS Financial Corporation, Minneapolis. Mi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: NflliPf pf thff f.lfljmfmt Pagp T^HTTlh^ 1 " 01 -02646 Douglas Maurice Rich rjpo Sitp- Washington, DC Dave M. Connolly Steven Ford OF PAPTTF.S Claimant, Douglas Maurice Rich ("Rich"), hereinafter referred to as "Claimant": pro se. Respondents, Dave M. Connolly ("Connolly") and Steven Ford ("Ford"), hereinafter collectively referred to as "Respondents": Howard M.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Henry Levin TTEE/Henry Levin Living Trst Philip Levin Edward Brewer & Virginia Brewer 93-02947 Name of Respondents A Financial Securities Network. Inc. National Financial Services Corporation Hyannis Trading Advisors, Inc. Jeremiah Hegarty Michael Hegarty REPRESENTATION POT Claimants Henry Levin, Philip Levin a

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Carol J. Clarke, Claimant, v. NASD No. 93-03018 Michael A. Bronzino and Prudential-Bache Securities, aka Prudential Securities, Inc., Respondents. Representation For Claimant: Cedric Choi, Esq., Honolulu, Hawaii For Respondent Prudential-Bache Securities (Prudential): Gary Klein, Esq., Prudential, New York, New York For Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Pasqual J. Talerico 93-03017 Names of Respondents Merrill Lynch Pierce Fenner & Smith Inc Scott M. Griswold REPRESENTATION For Claimant, Pasqual J. Talerico ("Talerico"), Jane A. Sirak, Esq. of West Palm Beach, Florida. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("M.L."), Michael E. Olney, Esq. of Merri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gloria DiRusso & Anthony DiRusso (deceased) 93-03014 Name of Respondents GKN Securities Corp. Robert D. Tucker REPRESENTATION For Claimants, Gloria and Anthony DiRusso, Sr., Alan Shaver from the law firm of Neville Shaver Kelly & McLean located in Stamford, CT. For Respondents, GKN Securities Corp., ("GKN"), David Smith fr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gayheart R. Rocke 93-03008 NameofResDondents Olde Discount Corporation; Brett Blasdel REPRESENTATION For Claimants Gayheart R. Rocke ("Rocke") appeared pro se. For Respondent: Olde Discount Corporation ("Olde*) and Brett Blasdel ("Blasdel") were represented by Brett Blasdel, Olde Discount Corporation. • •;• CASE INFORMA

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Gregory Buda 93-03004 Name of Respondents Barrett Day Securities, Inc. Joseph Capolino, Jr. REPRESENTATION For Claimant Gregory Buda ("Buda") appeared Alan Zoccolillo of John Jay Legal Services, Inc. Respondent Barrett Day Securities, Inc. ("Barrett Day") filed for bankruptcy, and, therefore, all claims were stayed against Barrett Day. Respondent J