N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities. Inc. vs. Case # 93-00854 Name of Respondent Wen Dar Chen REPRESENTATION For Claimant, Prudential Securities, Inc. ("Claimant"), David L. Becker, Esq., from the law firm of Kutak Rock. Respondent, Wen Dar Chen, was not represented by counsel. CASE INFORMATION Statement of Claim filed was on Mar

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Heritage Bank 93-00836 Name of Respondents Andrew Bayiiss Pioneer Portfolio Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 5, 1993, Claimant Heritage Bank, by and through their President, Brad Walterskirchen, alleged that on February 11, 1992 Respondent Andr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Consolidated Cases •9vPw9&&J*-'"'' 93-02454 Name of Respondent Jay Rodin REPRESENTATION For Claimant Prudential Securities, Inc.: Jill A. Byrne, Esq. of the law firm of Kutak Rock located in Washington, B.C. For Respondent Jay Rodin ("Respondent"): Sheldon M. Goldman, Esq. of the law firm

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Carol Thatcher Name of Respondent s) The Ohio Company Bill R. Dodds PUBLIC 93-00828 REPRESENTATION For Claimant Carol Thatcher: Joseph Spiegel, Esq., sole practitioner, Southfield, Michigan. For Respondents The Ohio Company and Bill Dodds: James Francis, in-house counsel for the Ohio Company, Columbus, Ohio. CA

PUBLIC N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Stephen Lane 93-00824 Name of Respondents Olde Discount Corporation Edward Stockton CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 5, 1993, Claimant Robert Stephen Lane through his counsel Barry H. Alper of Securities Arbitrator Consultants, Boca Raton, FL,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants De T. and Lynn H.L. Sheng 93-00822 Name of Respondents Biltmore Securities, Inc. Brian G. Kulungian CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 5, 1993, Claimants De T. and Lynn H. L. Sheng, who appeared Pro Se, alleged that on or about April i, 1992 after reviewing appr

NASD Arbitration No.9340818 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFAT.FRS. INC. In the matter of the Arbitration Between Name rvf Claimant Marilyn M. Schmidt Name flf Respondents New England Securities Ray C. Woolevcr REPRESENTATION For Claimant: David C. Hollinger, Suniand, California For Respondents: Mitchell A. Karman, Esq., New England Securities, Boston, Massachusetts CASE INFORMATION Statement of Claim filed: M

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: GKN Securities Corp., (Claimant) vs. Robert Peck, (Respondent) Case Number: 01-00946 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant GKN Securities Corp., hereinafter referred to as "Claimant": David Schmidt, Esq., Lubiner & Schmidt, Cranford, NJ. Previously represented by: Michael Colombo, Vice President and Manager, GKN Securities Corp., New York, NY.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rick K. Oswalt 93-00816 Name of Respondent Josephthai, Lyon & Ross, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1993, Claimant Rick K. Oswalt, who appeared Pro Se, alleged that Respondent Josephthai, Lyon & Ross, Inc. churned his account and purchased unsui

N.A.S.D. AWARD NCTIQNAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Stuart Kaufman NASD Arbitration No. 93-00805 Name of Respondent J. K. Elliott REPRESENTATION For Claimant: In Pro Se For Respondent: In Pro Se CASE INFORMATION Statement of Claim filed: March 4, 1993 Claimant's Submission Agreement signed: January 27,1993 Statement of Answer filed by Respondent: May 6, 199