N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard Flacks vs. NASD #92-03371 Charles Schwab and Company, Inc. For Claimant: Pro Se For Respondent: Joseph Aldridge, Esq. of Charles- Schwab and Company, Inc. of San Francisco, California. CASE INFORMATION Statement of Claim filed: October 6, 1992 Claimant's Submission Agreement signed: October 1, 1992 Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant William E. Gilbert, trustee of Willis E. Gilbert Trust and 92-03370 Name of Respondents Kennedy, Cabot & Co. and Mark Fink REPRESENTATION OF William E. Gilbert, trustee of Willis E. Gilbert Trust ("Claimant") was represented by James J. Zak, Esq. of Zak. Fox & Pehr, P.C., Westminster, Colorado. Respondent Kennedy,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ruth B. Munhall Case* vs. 92-03369 Name of Respondent First Georgetown Securities Inc. REPRESENTATION Claimant. Ruth B. Munhall. was not represented by counsel. For Respondent. First Georgetown Securities, Inc.: John S. Stoppebnan, Esq., of Law Offices of John S. Stoppeiman. CASE INFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In me Matter or the Arbitration Between MameofClaimanus) PUBLIC Lisa Valvano 92-03357 Name of Respondent^) First Albany Corporation Robert Elser Claimant Lisa Valvano appeared pro se. For Respondent James Reilly. Esq. of Herzog, Engstom & Koplovitz. PC, Albany, New York. CASE INFORMATION Statement of Claim filed: October 5. 1992. Claimant s Submission Agreement signed on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wayne and Nadia Lattin. ind/beneficiary 92-03356 Names of Respondents Murray, Wflt. Bamit, Inc. John D. Wilt Gregory T. Murray Theodore Baam Patricia L. Wilt Claimants, Wayne and Nadia Taltin were represented by Robert J. Pohlman, Esq. and lames E. Brophy, m, Esq. of Ryley, Cartock & Appfewnite, Phoenix, Arizona. Respondents, John D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of" the Arbitration Between Naie Morgan Park Clinic, LTD Profit Sharing Plan and Trust, Dr. Campaigne. Trustee, and the Morgan Park Clinic Limited Pension Plan, Dr. Campaigne, sole beneficiary and Dr. Campaigne, individually 92-03354 Name of Respondents Hayne. Miller & Farai, Inc. and Daniel Bubalo REPRESENTATION OF PARTTFS . Morgan Park Clinic. LTD Profit Shar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Edward and Iva O'Connell Case No. 92-03344 Name of Respondent^ Prudential-Bache Securities Inc. Russell Ketchum Patricia Youngquist REPRESENTATION For Claimant, Edward and Iva O'Connell ("the O'ConneUs"): Terrance A. Bostic, Esq. Ackerman, Senterfitt & Eidson, P.A. Tampa, Florida. For Respondent, Prudential Securitie

r Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name nf the. Claimant Theresa Martin and Theresa Martin, as Trustee of the Theresa Martin IRA Name, of the Uespondents Stifel, Nicolaus & Co., Inc.; Michael Grimes; Harry Young; and Todd Burnett age •NTnmher 01-02463 Hearing Site: St. Louis, Missouri fl]Tl>PF.SF7VTATTON OF PARTTFS Claimant Theresa Martin and Theresa Martin, as Trustee of the Theresa M

N.A.S.D. AWARD .N'ATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Raymond and Myrna Wang vs. Case # 92-03375 Name of Respondents Josephthal & Co.. Inc. Paul N. Garofalo, Jr. REPRESENTATION For Claimant: Raymond and Myrna Wang, Bruce S. Schaeffer, Esq. For Respondent: Josephthal & Co.. Inc.. ("Josephthal"), Robert Moses of Josephtal & Co., Inc. For Respondent: Paul N. Garofalo, Jr. ("Gar

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William M. Collins and Carol T. Collins 92-03343 Name of Respondent J.W. Gant & Associates Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 5, 1992, Claimants William M. and Carol T. Collins, who appeared Pro Se, alleged that in March, 1992, they purchased 1,000