N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs') Carl R. and Wilma M. Berry Case No. 93-00710 Name of Respondents) Prudential Securities, Inc. REPRESENTATION For Claimants, Carl and Wilma Berry ("the Berrys"): James D. Keeney, Esq. of Namalk, Clark & Keeney, Sarasota, Florida. For Respondent, Prudential Securities, Inc. ("Prudential"): Delmer Gowling, Esq. of Honigman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Motoshi Yamasaki 93-00661 Name yfRespondent^ D.H. Blair & Company Craig Nilsen David J. Yorwcrth CASE SUMMARY la a claim filed with the National Association of Securities Dealers, Inc. on February 23, 1993, Claimant Motoshi Yamasaki, who appeared Pro Se, alleged that Respondents Craig Nilsen and David J. Yorwenh of the

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Todd Wesley Stauffer and 01-02563 Denver, Colorado Name of Respondents Geneva Holding Corp., Geneva Capital Corp. and David M. Khalilzad REPRESENTATION OF PARTIES Todd Wesley Stauffer ("Claimant") was represented by Dennis A. Graham, Esq. of Clanahan Tanner Downing & Knowlton, located in Denver, Colorado. Geneva Holding Corp., Geneva Capita

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Steve and Elsie Von Duerring 93-00563 Name of Respondents Dunhill Equities, Inc. Erwin A. Forges REPRESENTATION For Claimant: Dan A. Druz, Esq., Sea Girt, New Jersey. For Respondent Dunhill Equities, Inc.: Joseph F. Keenan, Esq. of Bochat & Keenan, P.C., Garden City, New York. For Respondent Erwin Forges: Charles M. O'

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants The Estate of Margaret McClanaghan, Thomas McClanaghan, Personal Representative 93-00521 N,aine of Respopdent Kenneth M. Osier REPRESENTATION For Claimant: The Estate of Margaret McClanaghan, Thomas McClanaghan, Personal Representative, ("McClanaghan") was represented by Walter Baumgardner, Esq., of Musilli & Baumgardner,

NASD REGULATION, INC. AWARD In the Matter of die Arbitration Between Name of Claimant Gordon E. Segal 93-00201 Name of Respondents Josepbthal Lyon & Ross Inc. Stephen C. Byrd For Claimant Gordon E. Segal ("Claimant 11 ) appeared Paul Savad, Esq., of the law office Bring, Savad, & Smith, located in Nanuet, New York. For Respondent Josepbthal Lyon & Ross, Inc. ("Josephthal") appeared Robert E. Murphy, internal representation for Joseph

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration between Gregory L, & Maria 3. Brotherton Claimant and olii-IUJJL MAY 81989 CORPORATE .••':•'•••;: Decision #88-00056 F.D. Roberts Securities, Inc. John Conte Respondent(s) Factual Statement. Claimants maintained an account with Respondent, F.D. Roberts Securities, Inc. On July 22, 1987, Claimants sent, by certified mail, return receipt requested, a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between " ) — ) Charles Schwab & Co., Inc. Claimant ) } Case #88-00053 ) vs. _ ) Award ) Howard K. & Jean M. Wilson Respondent ) On April 11, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant on January 4, 1989, and by Respondents on July 2, 1988. The arbitration panel,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ROBERT E. AUSBURY EDWARD D. JONES & CO. ) Respondent ) Claimant v. ) NASD NO. 88-00051 CASE SUMMARY In a claim filed with the NASD on or about January 7, 1988, Claimant Robert E. Ausbury, ("Claimant") alleged that Respondents Edward D. Jones & Co., Gary Aleff and Mark Burnsides ("Respondents") misrepresented to Claimant that his purchases of certain Oil

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Deborah McCall Jones, Cust. for Eric James McCall Claimant(s) vs. 88-00049 Pruder\tial-Bache Securities, Inc. and Ronald Edwards Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Deborah McCall Jones, Cust. for Eric James McCall alleged that Respondent(s) Prudential-Bache Securities, Inc. and Ronald Edwards made unauthoriz