N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between SCOTT BUCHAN, Claimant, and No. 95-01862 JOHN G, KINNARD & CO., NICHOLAS AMLIE, WESTONKA INVESTMENTS, INC., PAT MCDONNELL and TIM FRIEDERICHS, Respondents. REPRESENTATION OF PARTIES ("Claimant") was represented by Rebecca E. Bender. ("Respondents") were represented, as follows: John G. Kinnard & Co. by F. Chet Taylor; Nicholas Aml

95-01857 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Ross Geifand Name of Respondent^ Hanover, Sterling & Co., Ltd. Jeff Vitt Jeff Davner REPRESENTATION Claimant appeared Pro Se. For Respondents Jeff Vitt and Jeff Davner: Michael F. Bachner, Esq., New York, NY. The Respondent Hanover Sterling and Co., Ltd. did not appear. CASE INFORMATION Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara Cox 93-00889 Name of Respondents Kemper Securities, Inc.; Michael Watts REPRESENTATION For Claimant: Barbara Cox ("Cox") was represented by Don Fogei, Esq. and Roy Camberg, Esq. of Ware, Snow, Fogel & Jackson, P.C., located in Houston, Texas. For Respondent: Kemper Securities, Inc. ("Kemper") was represented by Will

_ _ N.A.SJD- AWARD NATTONAL ASSOCIATION OF SECTIRITIFS DF.AT.EKS. TNC.. In the matter of the Arbitration Between Toby Turitz NASD Arbitration No.93-00888 Prudential Securities, Inc. Stanley Cameron For Claimant: Brian L. Schall, Esq. T Los Angeles, California For Respondents; E. Scott Douglas, Esq., Keesal, Youof Jk Logan, Long Beach, California Statement of Claim filed: March 9, 1993 Claimant's Submission Agreement signed: February

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ruth Ray Eilenberg 93-00882 Name of Respondents First Investors Corporation Joseph Parauda Marie Dondero REPRESENTATION For Claimant: John E. Lawlor, Esq. a sole practitioner. For Respondents, First Investors Corporation and Joseph Parauda; Nanette K. Chern, Esq. of First Investors Corporation. For Respondent, Marie

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gordon G. Sherard, Jr. 93-00875 Name of Respondent Smith Barney, Harris Upham & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1993, Claimant Gordon G. Sherard, Jr., who appeared Pro Se, alleged that in January 1991 he signed transfer papers to move his I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Emylie K. and Barbara Masopust 93-00864 Name of Respondents Multi-Financial Securities Corp. Kenneth Puckett REPRESENTATION For Claimants at the hearing: Steven Samson, Esq., Evanston, Illinois. For Respondent Kenneth Puckett at the hearing: Michael J. Falconer, Esq., Chicago, Illinois. For Respondent Multi-Financial Secur

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between iVarn* of Claimant Allan Hamm 93-00859 Nam? of Respondent Hibbard Brown & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 8, 1993, Claimant Allan Hamm, who appeared Pro Se, alleged that on March 29, 1991, he purchased 600 shares of Trans Atlantic Video (Diamond Entertainment)

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Hae Sim Lee and Hak Boong Choi, Claimants v. Charles Schwab & Company, Inc. Respondent Case Number. 01-00947 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants Hae Sim Lee and Hak Boong Choi: For Respondent Charles Schwab & Company, Inc. Erwin J. Shustak, Esq. Shustak Jalil & Heller San Diego, California Thomas L. Taylor, m, Esq.

In the Award NASD Dispute Resolution, Inc. Matter of the Arbitration Between Stevaj L A.Varga Case No. 00-00677 nf T? Morgs n Grant Capital Corporation Lou Si ontaino and Scott Goodman Site* Washington, DC OTT frAPTTFR Claim tnt Stevaa A-Varga ^Claimant 3 *) represented himself. Respojideat Morgan Giant Coital Corporation C^tespondenf 0 && not appear. Staterojent of Claim filed on or about: February 1,20.0