N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sanford G. Powers 93-03075 Name of Respondents Olde Discount Corporation Charles Louis Williams, IV CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 6, 1993, Claimant Sanford G. Powers, who appeared Pro Se, alleged that Respondent Olde Discount Corporation, through its regist

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between DAVID L. CIAPPONI, Claimant, v. NASD No. 93-3071 KIDDER PEABODY & CO. and GEORGE BITTING, Respondents. Representation For Claimant: David Studley, Esq. of San Francisco, CA For Respondent: William Phelps, Esq. of Kidder Peabody & Co., Los Angeles, CA Case Information Statement of Claim filed: October 27, 1993 Claimant's Submission Agreement

NASD Arbitration No. 93-03070 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name nf Claimant Timothy B. Oden Name of Respondents Holger Dietze and Lara Millard & Associates, Ltd. REPRESENTATION For Claimant: John W. Barnes, Esq., San Francisco, California For Respondent: Holger Dietze: Pro Se, Chantilly, Virginia For Respondent: Lara Millard & Associates, Ltd: Lionel E. Pashk

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dennis D. and Sue A. Brunsting 93-03065 Name of Respondents Dain Bosworth Incorporated Tom Dempster Claimants Dennis D. and Sue A. Brunsting ("Claimants") were represented by Thomas W. Clayton, Clayton Law Office, Sioux Falls, South Dakota. Respondents Dain Bosworth Inc. ("Dain Bosworth") and Tom Dempster ("Dempster") were

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marcia B. Zimmerman 93-03060 Name of Respondents Gruntal & Co., Inc. Jonathan Lyons REPRESENTATION For Claimant Marcia B. Zimmerman ("Zimmerman") appeared Robert Chira, Esq., of Robert Chira & Associates located in New York City, New York. For Respondent Gruntal & Co., Inc., ("Gruntal") appeared Harry D. Frisch, Esq., In-ho

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Invest Financial Corporation 93-03057 Name of Respondent Michael M. Poust REPRESENTATION For Claimant, Invest Financial Corporation ("INVEST"): Eugene B. Harper of INVEST, Boca Raton, Florida. For Respondent: Michael M. Poust ("POUST") appeared, Pro Se. CASE INFORMATION Statement of Claim filed: August 4, 1993. Clai

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Charles A. Wolf and Chaseco, Inc. and 93-03052 Name of Resppndent Prudential Securities, Inc. Paine Webber, Inc. Bruce Tolbert REPRESENTATION OF PARTIES Charles A. Wolf and Chaseco, Inc. ("Claimants") was represented by Richard G. Schultz, Esq., Foran & Schultz, Chicago, Illinois. Prudential Securities, Inc. ("Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant v. NASD No. 93-3047 George S. Pietro Respondent Representation For Claimant: Michael Abbott, Esq., of Jones, Bell, Simpson & Abbott of Los Angeles, CA For Respondent: George S. Pietro Case Information Statement of Claim filed: August 4, 1993 Claimant's Submission Agreement signed: June 8, 1993 Statement of

Award National Association of Securities Dealers, Inc. In the Matter of the Arbitration Between Names of the Claimant Anthony V. Pugliese, HI Names of the Respondents Emerson Bennett & Associates, Inc. Richard Hamilton Peter Parente Jerry Stokes Brentley Martin Case Number: 01-02630 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Anthony V. Pugliese, III, hereinafter referred to as "Claimant": Russell L. Forkey,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roland S. Williams 93-03046 Name of Respondent Commonwealth Associates CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 4, 1993, Claimant Roland S. Williams, by and through his counsel David E. Robbins, Esq. of Kaufman, Feiner, Yamin, Gildin & Robbins, New York, NY, alleged that