N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECUM1TES DEALERS REGULATION, INC- In the Matter of the Arbitration Between Name of Claimant Jacob Shurkin Name of Respondent Dino A, Villasenor J.B. Oxford & Co. 96-04782 REPRESENTATION Claimant Jacob Shurkin ("Claimant") appeared Pro Se. Respondents Dino A. Villasenor ("Viliasenor") and J.B. Oxford & Co. ("JBOC") were represented by Scon G. Monson, Esq., Associate General Counsel, J.B.

In the Matter of the Arbitration Between o Climants Donald A. Octeau and Jeanne C. Octeau vs. Name of Respondents Koegier Morgan & Company, Inc. Nationwide Advisory Services Nationwide Life Insurance Company Walnut Street Securities Domenic P« Ferrante Marlene McKenna Case No, 9&04779 For Claimants DonaW A. Octeau and Jeanne C. Octeau ("Claimants'') appeared Bruce S. Schaeffer, Esq. a sole practitioner with law offices located in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Kristina M. and Grace M. Cunetta 96-04778 Name of Respondent GKN Securities Corp. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on October 28, 1996, claimants Kristina and Grace Cunetta ("claimants"), through their attorney and counsel Bruce Lamchick a sole practitioner locat

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dr. David Thomas and 01-02197 Louisville, Kentucky Names of Respondents UBS Financial Services, Inc. David R. Meredith James R. Brown Nature of the Dispute; Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Dr. David Thomas ("Claimant") was represented by Michael A, Valenti, Esq., Valenti, Hanley & Crooks, PLLC, L

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04773 Wedbush Morgan Securities, claimant vs. Gregory Maggipinto and Estella Maggipinto, respondents. ATTORNEYS: Claimant appeared through its in-house counsel, Armen Sebastian, Esq., Los Angeles, CA. Respondents appeared Pro Se, through Gregory Maggipinto, San Jose, CA. DATE FILED: October 28, 1996. CASE SUMMARY: Claimant alleged that respondents opened a

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Mutter of the Arbitration Between Name of Claimant Hruce Uundcll. and Claire Hundelt and 96-04772 \urnc of Respondents Timothy O'Lcary. and Oppenheimer & Co.. Inc. KKPKESENTAT1ON OF PARTIES Bruce Hundeh. and CInirc Ihmdelt ("Claimants") were represented by Mark H. I.evison. l/.sq.. Polsinelli. White. Vardcman & Shalion. St. Louis. Missouri. Timothy f^jem^^ Oppenheime

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Frank M. Smith and 96-04769 Name of Respondent Currency Trading International, Inc. Marie Fine John Doe REPRESENTATION OF PARTIES ' Oai mant") was'rcprcscmed-by Franc is V-.Crist iano v Esq. And Rlch^^Ncrjog. Currency Trading InternauonalVInc. C'RespohdentCTrV) AvasreprcsentedteyThorn RIodgeU, Esq;, Irvine, Calif

SENT BY: < * 6-18-88 ; 8:11AM ;NASD ARBITRATION DPT- 12122085165;* 6/24 AWARD RRQULATN INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Wendy D'Ambrogia Name of Respondents Prudential Insurance Company of America Richard Holland REPRESENTATION For Claimant: Steven J. Hassmg, Esq., Dublin, CaJifornia Arbitration No. 96-04768 For Respondent Prudential Insurance Company: Kathryn K. Morrison, Esq., Seyf

NASD REGULATION In the Matter of the Arbitration Between Name of Claimant Robert M. Schwartz 96-04767 Name of Respondents American Eagle Investments, Inc. Allen R. Rosenberg Richard Nelson REPRESENTATION For claimant Robert M, Schwartz ("claimant") appeared Lloyd S. Clareman, Esq.y with ^offices For respondents American Eagle Investments, Inc. ("American Eagle") and Allen R. Rosenberg ("Rosenberg") appeared Daniel E. Bacine, Esq. of

AWAftD KASD REGULATION. IMC,, OPFICH OF Plgpm-g RggQUTTIOH In the matter of the Arbitration Between Narpe of PI a -i mant (s) Henry A. Schauer Arbitration No. 96-04765 Name of Respondent Prudential Securities Incorporated George Merrill For Claimant: Philip J. O'Connell, Esq., Missoula, Montana For Respondents^— Peter- von- Maur-r Incorporated, New York, New York CASK TMFQRMATIOH Statement of Claim filed: October 23, 1996 Cla