Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02569 Robert Kohn Names of the Respondents Hearing Site: Boca Raton, FL Prudential Securities, Inc. Steven Frank Esposito REPRESENTATION OF PARTIES For Robert Kohn, hereinafter referred to as "Claimant": Kenneth E. Keechl, Esq., Brinkley, McNeray, Morgan, Solomon & Tatum, L.L.P., Ft. Lauderdale, FL. For Prudential Securities, Inc. ("PSI") and Steven Fra

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between GLIKSMAN SECURITIES CORPORATION, HARRY GLIKSMAN and ROSEMARY E. SHANNON, Claimants, v. NASD No. 93-916 WEDBUSH MORGAN SECURITIES, INC. and EDWARD W. WEDBUSH, Respondents. Representation For Claimant: Rosemary Shannon - Pro Se, Los Angeles, California; Gliksman Securities Corp. - Rosemary Shannon, Los Angeles, California; Harry Gliksman - M. Alys

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jan Arnett 93-00914 Name of Respondents Commonwealth Associates James Giordano REPRESENTATION For Claimant Jan Arnett ("Claimant") appeared Evan L. Gordon, Esq., New York, New York. For Respondent Commonwealth Associates ("Commonwealth") appeared David S. Richan, Esq. from the law firm of Tenzer, Greenblatt, Fallen & Kaplan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Estate of George W. Feltyberger, Sr. 93-00903 Name of Respondents Gruntal & Co., Inc. Regional Clearing Corp. Kashner Davidson Securities Corporation Name of Third Party Respondent George W. Feltyberger, Jr. REPRESENTATION For Claimant, David A. Steves, Esq., as personal representative of the Estate of George W. Fel

• N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Homer W. and Mary Magnus 93-00885 Name of Respondent Josephthal Lyon & Ross, Inc. Nick Esposito REPRESENTATION For Claimants Homer W. and Mary Magnus ("Claimants") appeared Morgan W. Bentley, Esq., a sole practitioner located in Newark, New Jersey. For Respondents Josephthal Lyon & Ross, Inc. ("Josepbthal") and Nick Esposito

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nancy C. Johnson 93-00874 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Joseph J. Paskoski REPRESENTATION For Claimant, Nancy C. Johnson ("Johnson"): Richard W. Epstein, Esq. of Greenspoon Marder Hirschfeld & Fafkin, Fort Lauderdale, Florida. For Respondents, Merrill Lynch Pierce Fenner & Smith ("ML") and Jose

NASDR AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant NASD Arbitration PaineWebber, Inc. #93-00850 vs. Name of Respondent Parvin Namaki REPRESENTATION For Claimant: Catherine Pratt, Esq., PaineWebber, Inc., Los Angeles, California For Respondent: No appearance. CASE INFORMATION Statement of Claim filed: March 3, 1993 Amended Claim filed: April 1, 1993 Second Amended Claim filed: February

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph A. Gibson. Jr. 93-00842 Name of Respondent J. C. Bradford & Co. REPRESENTATION Claimant Joseph A. Gibson. Jr. appeared pro se. For Respondent J.C. Bradford & Co. appeared Claude O. Ramer. in. CASE INFORMATION The Statement of Claim was filed on March 4. 1993. Claimant's Submission Agreement was signed on March 1.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ~~ Names o f/f Jane Anne Emerson et al. 93-00814 Name of Respondent Prudential-Bache Securities Inc. REPRESENTATION For Claimants, Jane Anne Emerson, Jane Gladden Emerson, Jonathan Emerson and Paul E. Emerson: James D. Keeney, Esq., Namack, Clark and Keeney, Sarasota, Florida. For Respondent, Prudential Securities, Inc. ("Prudential"): Dona

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George and June Woida Claimant(s) vs. 87-02807 Dean Witter Reynolds, Inc., and Gary J. Todryk Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimants George and June Woida alleged that Respondents Dean Witter Reynolds, Inc., and Gary J. Todryk mismanaged the Claimants' mutual fund account by failure to close out the account until the