N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gladys S. Minkin et al. Case No. 93-00323 Name of Resoondentf si A.G. Edwards & Sons, Inc. Edmond E. Dorit REPRESENTATION For Claimant, Gladys S. Minkin, individually and as Trustee, et. al ("Minkin"): Marina Shank Klein, Esq., of Fort Lauderdale, Florida. For Respondent, A.G. Edwards & Sons, Inc. ("AGE"): Clay L. Grumke, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OB SECURITIES DEALERS la the Milter of the Aitutauian Between VMM* at CT|rtng|ttl LeeLae vs. NASD #93-00319 Wodboxh Mrano Socurt^^* J Inc. For ftataM*** Anthony J. Horn, Eiq. t Fhlkdalphiat PA Forficapondflntt: Mnio Baton, Wfidbuch Morgan Securities, Iac M Los Angetes CASEJMEQBMAUQZi Stttemeot of Clilm ^i«^" Jjoxtary 29 » 1993 Claimant 1 * Submiflsflan AgupcmaHt sicnod: Janu

HHY-1B-1994 12:46 FROM NRSD-fiRBITPfiTION-OIICfiGO TO 121285B4141 JK.A,S,D, AWARD ASSOCIATION OF ^ECDRITIES DKfcLERS, INC. In the Matter of the Arbitration Between tfaiae of Claimant i Rauscher Pierce Refsnes Inc. No. 93-00307 REPRESENTATION OF PARTIES i Claimant, Rauscher pierce Refsnes, Inc. was represented by James T. Ritt, Esq., of JRauscher, Pierce, Refnes, Inc., Dallas, Texas, I Respondent:, Harold Iianger was represent

D U3L1C N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James Molinaro Pension Plan, James J. Molinaro, Trustee 93-00306 Name of Respondents AvinE. Bakai Marsha A. Bakal Phyllis Henderson Berkeley Securities Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 28, 1993, Claimant James Molinaro, wh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS En tne Matter of the Artitrauon Berween Name of Alvin Bergman and Enriquetta Bergman 93-00302 Name of Respondents Smith Barney Harris Upham & Co., Inc. Richard R. Fulton CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on January 28, 1993, Claimants Alvin & Enriquetta Bergman, who appeared Pro Se, alleged that Respondent Richard Fulton of the

PUBLIC N.A.S.D. AWAKD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joyce Schmidt 93-00300 Name of Respondents F.N. Wolf & Co., Inc. Robert C. Fletcher CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 28, 1993, Claimant Joyce Schmidt, who appeared Pro Se, alleged that Respondent Robert C. Fletcher of the Respondent firm F.N. Wolf & Co., Inc. used high

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Eugene Simonow and Vera Simonow 93-00299 Name of Respondents Shearson Lehman Brothers, Inc. John A. Currie REPRESENTATION For Claimants Eugene and Vera Simonow ("Claimants"): Anthony Trogan, Esq. of the law firm of Weisman, Trogan, Young & Schloss located in Birmingham, Michigan. For Respondents Shearson Lehman Brother

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ^b 1 7 I99'r In the Matter of the Arbitration Between ~^ —• "'"' - —-• - Name of Claimani Paul Zucker 93-00289 Name of Respondents Merrill, Lynch, Pierce. Fenner & Smith, Inc. and David T. Parker REPRESENTATION Claimant was Paul Zucker (Zucker") pro, se. For Respondents Merrill, Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") and David T. Parker ("Parker"): Elizabeth G. .Armstrong

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Elmer D. Carlson, Diann M. Carlson, and Super Sound Tapes, Inc., (Claimants) vs. Security Capital Trading, Inc., Dirks & Company, Inc., Katherine Kierce Bader, Jessy Dirks, Robert Goss, and Vincent Piazza, (Respondents) Case Number: 01-00926 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Elmer D. Carlson ("E. Carlson"), Diann M. Carlson ("D. Carlson"), a

NASD Arbitration No 93-00286 N.A.S.D. AWAPD NATIONAL ASSOCTATTON OF SECURITY nKAT.F.RS. TNG. In the matter of the Arbitration Between Name of Claimant Eileen Tunick Name of Respondents David Duke Financial, Inc. Charles Bergman REPRESENTATION For Claimants: Phillip G. Samovar, Esq. - Santa Monica, California For Respondents: David Park - Deltavest Financial, Inc. - Los Angeles, California CASE INFORMATION Statement of Claim filed