PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimant Chatwin M. Jackson, m, Esq. 93-00251 Name of Respondent D.H. Blair & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1993, Claimant Chatwin M. Jackson, m, Esq., who appeared Pro Se, alleged that in December, 1990, he responded to an advertisement concer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant John N. Boden v. 93-00248 Name of Respondent Prudential Securities, Inc. and Abe Borenstein REPRESENTATION For Claimants: John Post, Esq., of the law'; firm of Post, Polack & Gpodseli, P. A'., RaseJandv^ ;NJ ' : .-• ' y-•'-•- • • • •; : -;^ v ; < i ^ 1 '" " v ;;;\ :i; ' ' f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Printon, Kane Group, Inc. Award vs. #93-00239 Name of Respondents John H. Hale William M. Sapoch Joseph F. Mannello REPRESENTATION For Claimant, Printon, Kane Group, Inc. ("Claimant"): Bernard C. Daley, Esq. of the law offices of Joseph C. Daley located in New York City, New York. For Respondents, John H. Hale, Will

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Piper Jaffray Inc. 93-00238 Name of Respondent Gregory L. Boderman REPRESENTATION For Claimant at the hearing: Joseph W. Anthony, Esq. of Fruth & Anthony, Minneapolis, Minnesota. For Respondent at the hearing: Stephen B. Young, Esq. of Hillstrom Bale Anderson Young, Minneapolis, Minnesota. CASE INFORMATION Statement

— N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Gregg Miller vs. NASD #93-237 Vamp- nf Respondents Prudential Securities Inc. and Cliff Davis REPRESENTATION For Claimant: Nancy G. Kariin, Esq., Schuiman & Miller, Beverly Hills, CA For Respondents: Patricia Fitzpatrick, Esq., Pnidential-Bache Securities, Inc., New York, NY CASE INFORMATION Statement of Claim filed: January 2

N-A.5-D- AWARD NATIONAL ASSOCIATION QT? SECTJR.TTTRS PflTVLERS. — INC >. In the matter of the Arbitration Between Name nf Claimant (s) Willis E. Spitzer Name of. Respondent (s) Advantage Capital Corporation Meryl Azar NASD Arbitration NO. 93-00233 For Claimant: Irwin Stein, Investors Recovery Service, Novato, California For Respondents: James M. Peterson, Esq., Higgs, Fletcher & Mack, San Diego, California CASE INFORMATION St

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William M. Howard 93-00232 Name of Respondents Prudential Securities Inc F.N. Wolf& Co., Inc. REPRESENTATION ' For Claimant William M. Howard ("Claimant"): Roger Allen Eddleman, Attorney at Law. For Respondents Prudential Securities, Inc. ("PSI") and F.N. Wolf & Co., Inc. ("F. N. Wolf 1 ); James C. Cosby, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven E. Vest 93-00231 Name of Respondents Dominick & Dominick Incorporated Portfolio Management Services, Inc. Alan D. Bush REPRESENTATION For Claimant, Steven E. Vest ("Vest"): Robert Wayne Pearce, Esq. of Lerner & Pearce, P.A. For Respondents, Dominick & Dominick Incorporated ("Dominick"); Portfolio Management S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Andrew A. Mienosa Case tf vs. 93-00228 Name of Respondent Olde Discount Corporation REPRESENTATION For Claimant: Andrew A. Mignosa. Pro Se. For Respondent: Bruce A. Campbell and Ina N. Otto of Olde Discount Corporation. CASE INFORMATION Statement of Claim filed: January 22, 1993. Claimant's Submission Agreement

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas E. Sullivan, Claimant vs. Dain Rauscher Incorporated, Respondent Case Number: 01-00919 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant: Scott C. Breneman, Esq. Breneman Law Firm 1601 Second Avenue, Suite 1080 Seattle, WA 98101 For Respondent: James L. Robart, Esq. Lane Powell Spears Lubersky 1420 Fifth Avenue, Suite 4100 Seat