N.A.S.D. AWARD NATIONAL f SSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimar.T Joseph Coory NASD Arbitration No. 95-01886 Name of Respondent J.C. Bradford & Co. Arthur F. Duffey REPRESE1SJTATION For Claimant: Paul W. Thomas, Esq., Carlsbad, California For Respondent: Linda G. Willis, Esq., J.C. Bradford & Co., Nashville, Tennessee INFORMATION Statement of Claim filed: April 17, 1995

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Javier G. Conde 95-01883 Name of Resoondgyfls Olde Discount Corporation; William S. Ryan REPRESENTATION For Claimant: Javier G. Conde ("Conde") appeared pro se. For Respondents: Olde Discount Corporation ("Olde") and William S. Ryan ("Ryan") were represented by Amy Kutt Richards, Esq. of Olde Discount Corporation, Detroit,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between lames R. Trayner Claimant, v. No. 95-01880 U.S. Investments, Inc., Sherry D. Criscogriffen, Steven C. Gunn, and Rocky L. Griffen Respondents. REPRESENTATION OF PARTIES Claimant James R. Trayner, et al. was represented by Richard G. Himelrick of Byrnes & Himelrick, P.L.L.C. located in Scottsdale, AZ. Respondent U.S. Investments, Inc. was r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edwaixi C. & Genevieve C. Thier 95-01878 Name of Respondents Sheen Financial Resources, Inc. David R. Bossert Edwin N. Legard, Jr. Brian J. Sheen REPRESENTATION For Claimants: Stephen D. Spivey, Esq. of Stephen D. Spivey, P.A., Ocala, FL. For Respondent, David R. Bossert ("Bossert"): Marc S. Dobin, Esq. of Boose Casey

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Debra Reda NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 95-01873 Name of Respondents Prudential Securities, Inc. and Joseph Edelman For Claimant: For Respondents: REPRESENTATION Bradd L. Milove> Esq. Miller, Milove & Kob

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard Carino Names of Respondents Smith Barney Shearson, Inc. Robert J. Escobio Claudio Salazar Kenneth A. Sussman 95-01869 REPRESENTATION For Claimant, Richard Carino ("Carino"): Robert A. Ware, Esq. of English, McCaughan & O'Bryan, P.A., Fort Lauderdale, Florida. For Respondents, Smith Barney Shearson, Inc. ("Sm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SEGOROIES DEALERS In the Matter of the Arbitration Between Ma* Paine Webber, Inc. 95-O1867 John O. Marquardt SUMMAY In a claim filed with the National Association of Securities Dealers, Inc. Ofl AprU 18/ 1995/CUimiant, r PaineWebber, Inc. rPaineWebbcr"), through 113 representative and in-house counsel, Nicholas P, Kapur, Esq., located in Weebawken, NJ, alleged that Respondent, John O. Marquardt, caused

NASD CASE NO. 95-01865 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William B. Kimberiey Names of Respondents Alex. Brown & Sons Incorporated and Mark Branigan Name of Third-Party Respondent Mark Branigan REPRESENTATION For Claimant: Kevin P. Conway, Esq. of Conway & Conway, New York, New York filed a Notice of Appearance on September 11, 1996; John G. Vega, Esq.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Herman S. Levine NASD Case Number: 95-01864 Sheldon France Gmntal & Company, Inc. REPRESENTATION OF PARTIES Claimant Herman S. Levine was represented by W. J. (Turmy) Wilson, Esq. of Moses, Dunn, Farmer & Tuthill, P.C. located in Albuquerque, New Mexico. Respondent Gruntal & Company, Inc. was represented by Eric S. Hunter, Es

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leah Oliver, Claimant v. T.D. Waterhouse Investor Services, Inc., Respondent Case Number: 01-00953 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimant: In Pro Per 16150 Ashland Avenue #50 San Lorenzo, CA 94580 For Respondent: Julie A. Kole, Esq. Keesal, Young & Logan Four Embarcadero Center Suite 1500 San Francisco, CA 94580 CASE