N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant First National Brokerage Services, inc. and Sjj00804 Name of Respondent Pete M. Giamalakis REPRESENTATION OF PARTIES First National Brokerage Services, Inc. ("Claimant") was represented by Patrick B. Griffin, Esq. of Kutak Rock, Omaha, Nebraska. Pete M. Giamalakis ("Respondent") did not appear at the hearing. CASE INF

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SF.CTTpTTTF.S DF.AT.F.KS. INC. In the matter of the Arbitration Between Name of Claimant Edward Maxwell NASD Arbitration No. 93-00796 Name of Respondents Shearson Lehman Hutton, Inc. John Childers Michael Rader REPRESENTATION For Claimant: Douglas Federspiel, Esq. - Velikanje, Moore & Shore, Inc. - Yakima, Washington For Respondents: Hany T. Walters, Esq. - Smith Barney Shearson, Inc. -

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lawrence A. & Elizabeth N. Holstrom 93-00790 Name of Respondent Daniel L. Holman For Claimants: Lawrence A. Holstrom and Elizabeth N. Holstrom ("HolstromsL'^weres Lawren represented by Laurence S. Schultz, Esq. of Driggers, Schultz, Herbst & Paterson; located in ' ft : Troy, Michigan. ; For Respondent: Daniel L. Holman was rep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Dionne Riley vs. Name of Respondents Case # 93-00789 REPRESENTATION Claimant appeared pro se. For Respondents: Jeffrey S. Rosen, Esq. of DeMartino Finklesten of Rosen & Virga, Washington, DC. CASE INFORMATION Statement of Claim filed: March 30, 1993. Claimant's Submission Agreement signed on: February 20, 1993. Join

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Wien Securities, Inc. Name of Respondent Donna Lambert! 93-00787 For Claimant: Herbert M. Jacobi, Esq., a sole practitioner. "'" ' ' ' . , " • " . . • ~ '• '' - ' t' "•"•*»' :,•''„" " • - - , • • For Respondent: Thomas J. McCabe, Esq., a sole practitioner.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants C.M. and Oleta Bonarden 93-00784 Name of Respondent Mark A. Fischer CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 3, 1993, claimants C.M. and Oleta Bonarden, who appeared Pro Se, alleged that Respondent Mark A. Fischer, while employed at Del Mar Securities, Inc., bo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Smith 93-00780 V Name of Respondents First Georgetown Securities, Inc. National Financial Services Corp. REPRESENTATION For Claimant Michael Smith ("Claimant"): appeared pro se. For Respondents First Georgetown Securities, Inc. ("First Georgetown") and National Financial Services Corp. ("NFSC"): Robert T. Ma

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeffrey Surovell, (Claimant) vs. U.S. Securities and Futures Corp., George Hopkinson, and Robert Van Batenburg, (Respondents) Case Number: 01-00941 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jeffrey Surovell, hereinafter referred to as "Claimant": Jill Gross, Esq., John Jay Legal Services, Inc., White Plains, NY. Respondent, U.S. Securi

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David O. Hansen 93-00779 Name of Respondent Summit Investment Corporation REPRESENTATION For Claimant at the hearing: Michael B. Braman, Esq. of Meyer & Njus, P.A., Minneapolis, Minnesota. For Respondent: Terrence J. Fleming, Esq. of Lindquist & Vennum, Minneapolis, Minnesota. CASE INFORMATION Statement of Claim fil

NJLS.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFAT.FRS Francis Vogt, Betty Vogt, and Elizabeth Ann Janes, Claimants, v. No. 93-00771 Conservative Financial Services, Inc., and William H. Sharp, Respondents REPRESENTATION OF PARTIES For Claimants, Francis Vogt, Betty Vogt, and Elizabeth Ann Janes ("Claimants"): John J. Miller, Esq., and Barry D. Estell, Esq., of Nygaard & Miller, Overland Park, Kansas. For Respondents, Conservative Fin