N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant H. Richard Miller 93-00724 Name of Respondent Kober Financial Corp. Joanne Grimm CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 26, 1993, Claimant H. Richard Miller, who appeared Pro Se, alleged that Respondent Kober Financial Corp., through it's registered representative

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Joseph W. Hoffman and Janice D. Hoffman 93-00723 Name of Respondent^ First Investors Corporation Daniel B. Turner '^PRESENTATION For Claimants, Joseph W. Hoffman and Janice D. Hoffman ("Hoffmans"): James Scutti, Esq. of Jim Scutti, P.A. %*^ For Respondents, First Investors Corporation ("FIC") and Daniel B. Turner ("T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Marie Vogt No. 93-00719 Name of Respondents Prudential Securities Incorporated Rosario J. Petrizzo OF PARTIES Claimant was represented by Steven Samson, Esq., Evanston, Illinois. . Respondents were represented by Steven M. Malina, Esq., of Prudential Securities Incorporated, New York, New York. CASE INFORMATION Statement of Claim filed on or about: February 25

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimants Carlos E. Jofrc and lidilia De Jofre 93-00706 Brian B. Sptetzer CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 26, 1993, Claimants Caries E. and Lidilia De Jofre, who appeared Pro Se, alleged that in November, 1991 Claimant Carlos B. Jofre opened an account with Merri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTTFS DEALERS. TNC. In the matter of the Arbitration Between Name of Claimants Sara Jimenez de San Roman, Trustee of the Richie Trust UAD 10/385; Sara Jimenez de San Roman, Trustee of the AASR and SJSR Trust UAD 10/3/85; Sara Jimenez de San Roman, Trustee of the Lord Trust UAD 10/3/85; Sara Jimenez de San Roman, Trustee of the Jackie Trust UAD 10/3/85; Sara Jimenez de San Roman, Trustee of the Ma Angeles Jimen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Luis Miguel Aguilar 93-00695 Name of Respondents Prudential Securities Incorporated; Joseph M. Sullivan REPRESENTATION For Claimant: Luis Miguel Aguilar ("Aguilar") was represented by William S. Shepherd, Esq. of Houston, Texas. For Respondents; Prudential Securities Incorporated ("Prudential") and Joseph M. Sullivan ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name n Theodore W. Dick 93-00693 Name of Respondent Kober Financial Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 25, 1993, Claimant Theodore Dick, who appeared Pro Se," alleged that he made an original investment of $4,968.00 on September 24, 1991 with Respondent Kober Financial Corp.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Coral Wavro 93-00691 Name of Respondents Gruntal & Co., Inc. Steven Racher REPRESENTATION For Claimant, Coral Wavro ("Wavro"): Adam Smith of Investors Arbitration Services, Inc. For Respondents, Gruntal & Co., Inc. ("Gruntal") and Steven Racher ("Racher"): Kimberly Unger, Esq. of Gruntal & Co., Inc. CASE INFORMATION

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00933 Researched Roofing Systems, Inc. and Robert LoCoco, claimants vs. George Patrick Ford Jr., Monroe Parker Securities, Inc., and John P. Clancy, respondents. ATTORNEYS: For Claimant Researched Roofing Systems, Inc. appeared Robert LoCoco, President, Orland Park, IL. For Respondent George Patrick Ford, Jr., appeared Marc J. Ross, Esq., and William Byers, Jr., Esq., of the firm Si

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Cowen construction, inc. NO. 93-00688 Name of Respondents Stratton oakmont, inc. Howard Scott ceifand REPRESENTATION OF PARTIES For Claimant: Barry K. Beaslev, Esq. and J. Clark Kendall II, Esq., of Huffman Arrington Klhle Gaberino & Dunn, Tulsa,pklahoma. For Respondent: Norman B. Arnoff, Esq., of capuder & Arnoff, New York, New York, and William B. Federman, Esq.