N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitracion Between Name cf Claimant John Denes 92-03563 Name of Respondent PaineWebber, Incorporated REPRESENTATION For Claimant: Richard A. Meier, Esq. a sole practitioner. For Respondent: Nanette L. Korpi, Esq. of Haliw, Siciliano and Mychalowych. CASE INFORMATION Statement of Claim filed: November 23, 1993. Claimant's Submission Agreement sig

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michelle Davis Schoenberger Carl I. Schoenberger 92-03562 Name of Respondents PaineWebber, Inc. Raymond B. Harrison REPRESENTATION For Claimant Michelle Davis Schoenberger and Carl I. Schoenberger ("Claimants"): Carl I. Schoenberger For Respondents PaineWebber, Inc. and Raymond B. Harrision ("Respondents"): Paul G.

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between e o Cima Thomas and Susan Addario 92-03549 Name of Respondent Peter BUI REPRESENTATION For Claimants: Thomas and Susan Addario appeared pro se. For Respondent: Peter Bill appeared pro se. CASE INFORMATION Statement of Claim filed: October 19, 1992. Claimants' Submission Agreement signed on: October 14, 1992. Statement of Answ

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Owen Brown, Individually and as Trustee for the Owen I. Brown & Associates Defined Benefit Pension Plan NASD Arbitration No.92-03536 Name of Resppndent(sJ Financial West Group Nancy Catherine Estrada John P. WiUoughby Donald Brooks James Anderson Gene Valentine For Claimants: Lionel Z. Clancy, Esq., Santa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant American Board of Examiners in Clinical Social Work 92-03531 Name of Respondent Kidder, Peabody & Co., Incorporated REPRESENTATION For Claimant American Board of Examiners in Clinical Social Work ("Claimant"): Samuel M. Forstein, Esq. of the law firm of Covington & Burling. For Respondent Kidder, Peabody & Co., Inc.: Th

PUBLIC ' N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David E. Areen 92-03520 Name of Respondents Geneva Securities, Inc. Leroy Messenger CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 16, 1992, Claimant David E. Areen who appeared Pro Se, alleged that Respondent Geneva Securities, Inc. and Leroy Messenger caused

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul J. Pantano 92-03514 Name of Respondents J.W. Gam and Associates, Inc. Y. Alex Hart REPRESENTATION For Claimant Paul J. Pantano ("Claimant"): James E. Carney, Esq. of the law firm of Carney & Carney For Respondent Y. Alex Hart ("Hart"): William J. Bethune, Esq. of the law firm of Marsh Fleischer & Quiggle Respon

FINAL ORDER NASD Regulation, Inc. In the Matter of the Arbitration Between Berardo Ali, Claimant and Counter-Respondent, No. 92-03513 v. Quick & Reilly, Inc., Respondent. Counter-Claimant, and Third-Party Claimant, v. Berliana Ali, Third-Party Respondent. REPRESENTATION OF PARTIES Claimant and Counter-Respondent Berardo Ali ("Claimant") appeared pro se. Respondent, Counter-Claimant, and Third-Party Claimant Quick & Reilly ("Respo

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ray Veldman 92-03511 Name of Respondents Prudential Securities Incorporated; Krish Raman; Mark Tabit REPRESENTATION Claimant Ray Veldman was represented by Bonnie E. Spencer, Esq. and Tom Hunt, Esq. of Jenkins & Gilchrist in Houston, Texas. Respondents Prudential Securities Incorporated, Krish Raman and Mark Tabit were

N.A.S.D. AV/ARD N, .TIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert H. Cook, Jr. 92-03503 tjame of Respondents Prudential Securities, Inc. Richard Kaneb Scott B. Morton For Claimant, Robert H. Cook, Jr. ("Cook"): George H. Moss, Esq., of Moss, Henderson, Van Gassbeck, Blanton & Koval, P.A. For Respondents, Prudential Securities, Inc. ( M Prudential H ), Richard Ka