N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Estate of Joseph Wohl } D.D.S. and Marcia Wohl IRA Account vs. 93-00687 Name of Respondents Monaco Securities, Inc. First Radnor Equities, Inc. Charles L. Gorenberg John J. Fischer Denise R. McGann Richard L. Breyley Seymour Frank Asset Allocations Advisors, Inc. REPRESENTATION For Claimants

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Judith Brighton 93-00683 Name nf Ideal Securities, Inc. Donald R. Tyner, Jr. Gregory Alan Reed Michael Lincicome Hi-Tech Resources, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 24,1993, Claimant Judith Brighton who appeared Fro Se, alleged that Respondents Ideal Secu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ngme of Claimant Eart R, Crouch 93-00358 ffame of Rpsoondenp Brokers Exchange, Inc. John K. Zimmerman REPRESENTATION For Claimant Earl R. Crouch ("Claimant"); Gerard J. Roerty, Jr., Esq. of the law firm of Mays & Valentine, For Respondents Brokers Exchange, Inc. ("Brokers Exchange") and John K. Zimmerman ("Zimmerman"}: Joseph Kaestner,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James C. and Mary Murphy 93-00356 Name of Respondents Invest Financial Corp. David Grimaldi REPRESENTATION For Claimants, James C. Murphy and Mary Murphy ("Claimants") James S. Brewer, Esq., of the law firm of James S. Brewer. For Respondents, Invest Financial Corporation ("Invest") and David Grimaldi ("Grimaldi"), Eug

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) William P. Butler 93-00347 Name of Respondent(s) Bear Stearns & Company Robert Soifer REPRESENTATION For Claimant: Richard S. Wayne, Esq. of Strauss & Troy. For Respondents: Daniel S. Taub, Esq. of Bear, Stearns & Company, Inc. CASE INFORMATION Statement of Claim filed: January 29, 1993. Claimant's Submission Agre

H.A.2.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Casimir J. Dzialo Bernice J. Dzialo No. 93-00340 Name of Respondents Bear Stearns & Company, Inc. Ronald M. Herman REPRESENTATION OF PARTIES For Claimants: Arne R. Rode, Esq., Chicago, Illinois. For Respondent: William C. Mallory, Esq., Bear Stearns & Company, Inc., New York, New York. CASE INFORMATION Statement of Claim filed on or about: January 29, 199

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * - Name of Claimant Frederick A. Felter 93-00337 Name of Respondents Hibbard Brown & Co.. Inc. Stephanie E. Murphy CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 1, 1993, Claimant Frederick A. Felter, who appeared Pro Se, alleged that on May 1, 1992 based on the recommendation of Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Douglas Black Case vs. #93-00334 Name of Respondent Jeffrey Brooks Securities Inc. REPRESENTATION For Claimant, Douglas Black ("Claimant"), Neil R. Cahn Esq. from the law firm of Newman & Gahn, located in Carle Place, New York. v C\;^ ; For Respondent, JeffreyBrooks Securities, Inc. ("Respondent"), Barry A. Bohrer, °Esq.Mro

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wayne and Wanda Bennett by POA Jeffrey Bennett, (Claimants) vs. PaineWebber, Inc., (Respondent) Case Number- 01-00928 Hearing Site.: Pittsburgh, Pennsylvania n Claimants, Wayne and Wanda Bennett by POA Jeffrey Bennett, hereinafter collectively referred to as "Claimants": Mitchel B. Zemel, Esq., Weber Goldstein Greenberg & Gallagher LLP, Pittsburgh, PA (Mr. Zemel wa

NASD Arbitration No. 93-00333 N.ft.S.D. AWARD NATIONAL ASSOCIATION OF SECTTRITTE5 PFaT.KPS. INC. In the matter of the Arbitration Between Name of Claimant(s) Faye Simmons-Hubbard Name of Respondent(s) Shearson Lehman Brothers, Inc. Perry 0. Daboling REPRESENTATION For Claimant: Michael W. Peterkin, Esq., Bend, Oregon and Richard M. Layne, Garvey, Schubert & Barer, Portland, Oregon For Respondents: Ann Parry, Esq., Smith Barney Inc.,