N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas F. and Madeline L» Ryan ., .,!.,;; Case No. 93-03003 Name of Respondent^ Craig Medoff Brian McGowan • v -.I Us-J For Claimants, Thomas F. ffgnn and Madeline L. Flynn (the "Flynns"): Pro se. For Respondents, Graig Medoff and Brian McGowan ("MedofT and "McGowan"): Pro se (see "Other Issues"). CASE INFORMATION Statement of Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roger Vandergrift 93-03001 Name of Respondents PaineWebber, Inc. Gilbert R. Solon CASE SUMMARY In a claim filed with the i^afionai Association of Securities Dealers, Inc. on August 3, 1993, Claimant Roger Vandergrift, who appeared Pro Se, alleged that Respondent Gilbert R, Solon, through the Respondent firm PaineWebber, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lida B. Crubaugh 93-03000 Name of Respondents Phillipe D. Steinitz Biltmore Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1993, Claimant Lida B. Crubaugh, who appeared Pro Se, alleged that Respondent Biltmore Securities, Inc. through its broker, Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David W. Freelove 93-02940 Name of Respondents Kidder, Peabody & Co., Incorporated Kidder Peabody Group, Inc. For Claimant David W. Freelove appeared Daniel A. Pollack, Esq. and Martin I. Kaminsky, Esq. of the law firm of Pollack & Kaminsky, New York City, NY. For Respondents Kidder Peabody &:Co., Inc. and Kidder Peabody Group,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James R. Truho and Judith M. Truho, (Claimants) vs. Morgan Stanley Dean Witter Inc. and Kevin Monaco, (Respondents) Case Number: 01-02640 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimants, James R. Truho and Judith M. Truho, hereinafter collectively referred to as "Claimants", appeared pro se. Respondents, Morgan Stanley Dean Witter Inc. ("MSDW") and Kevin Monaco

N.A.S.D. AvVARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Florindo Mariani and Patricia Mariani, Joint Tenants with rights of survivorship; Diana Mariani, Attorney in Fact for Florindo Mariani and Patricia Mariani and 93-02939 Name of Respondents Dickinson & Co. Bryant Robertson and Mark Van Deusen REPRESENTATION OF PARTIES Florindo Mariani and Patricia Mariani, Joint

N.A.S.D. AWARD NAilONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lawrence Olson, individually and as trustee of his IRA and living trust and Bonita Olson individually and as trustee of her IRA and living trust 93-02930 Names of Respondents Vanderbilt Capital Corporation WFG Securities Corporation John P. Lockrey Wilnard L. Selbak Arthur A. Laatsch, Jr. RKPR^ENTATION * For Claimants Lawren

NASD AWARD Claimants Baron Abboud Respondents ) ) Case Number 93-02924 Charles Schwab & Co., Inc. ) REPRESENTATION For Claimant. Baron Abboud ("Abboud"): Anthony Horn, Esq. of the Law Office of Anthony Horn, Esq. Philadelphia, PA. For Respondent, Charles Schwab & Co., Inc. ("Schwab"): Scott Hunt of Charles Schwab & Co., Inc., San Francisco, CA. CASE INFORMATION Statement of Claim filed: July 27, 1993. Claimant's Submission Agreement sign

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between G. T. Wannamaker, M.D. Claimant, vs. Case # 93-02922 Prudential Securities, Inc. and Clarence Pate, Respondents. REPRESENTATION For Claimant G. T. Wannamaker, M.D. ("Claimant") appeared John L. McDonald, Jr., Esq. from the law firm of Clawson & Staubes, Charleston, SC. For Respondents Prudential Securities, Inc. ("Prudential") and Clarence Pate

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Joe A. Dahm and 93-02921 Name of Respondents Hanover Sterling and Company, Ltd. Ian Roberts, Steven Ropas, Mark Savoca and David Sayid REPRESENTATION OF PARTIES Joe A. Dahm ("Claimant") appeared pro se. Hanover Sterling and Company, Ltd. ("Hanover") was represented by Darren Lampert, Esq., Lampert & Lampert, New York,