PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Carlos and Esther Otto 93-00553 Name of Respondents Prudential Securities, Inc. Dennis E. Pifer CASE SUMMARY In a claim filed with the National AMorst^ of Securities Dealers, Inc. on February 16, 1993, Claimants Caries and Esther Otto, uuuugh their counsel Robert M. Roth of R.M. Roth & Associates, Agoura Hills,

INDUSTRY N.A.SrD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Diane Richard 93-00552 Name of Respondent(s) Merrill Lynch Pierce Fenner & Smith Inc John M. Walsh Stanley Rosenthal Katie Casey ^PRESENTATION For Claimant: Ira E. Weiner, Esq. For Respondents: J. Michael Riordan, Esq. of the law firm of Bressler Amery & Ross. CASE INFORMATION Statement of Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward W. Foerstel; Dale Printing Company 93-00545 Name of Respondents Hibbard Brown Company; Mark Goddard REPRESENTATION For Claimants: Edward W. Foerstel and Dale Printing Company ("Foerstel") were represented by Richard M. Marshall, Esq. of Richard M. Marshall & Associates, P.C., located in St. Louis, Missouri.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Reginald and Katherine Woods 93-00543 Name of Respondents Reich & Co.. Inc. Arthur H. Goldberg Gary B. Davis Steven Freifeld Scott Novack CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 12, 1993, Claimants Reginald and Katherine Woods, who appeared Pro

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Juliet Padvaganian, (Claimant) vs. Adolph Komorsky Investments and Jeff Atamanuk, (Respondents) Case Number: 00-05052 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Juliet Padvaganian, hereinafter referred to as "Claimant": John P. Cione, Esq., a sole practitioner, Solana Beach, CA. Respondent, Adolph Komorsky Investments ("AKP): Sharmilee M. Gopwani,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Janet S. Sontz 93-00541 Name of Respondent^ Integrated Resources Equity Corp. Stephen N. Sayegh REPRESENTATION Janet Sontz appeared pro se. For Respondent, Integrated Resource Equity Corp.: Mark Quinn, corporate representative from Integrated Resources Equity Corp. Respondent Stephen Sayegh appeared pro se. CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barbara Stissi, Stephanie Depalo et al. 93-00540 Name of Respondents David Lerner Associates George Villasi REPRESENTATION For Claimants Barbara Stissi, Stephanie Depalo, Mia Terese Depaio and Barbara Stiss as guardian for Frank William Stissi ("Claimants"): John K Lawlor, Esq. located in Garden City, New York. For Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiman{ James V. Blanch 93-00539 of Respondent FBS Investment Services, Inc. William L. Crumb CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 12, 1993, Claimant James V. Blanch, through his counsel James F. Bngelking, Esq. , Denver, CO, alleged that Respondent William Crumb of the

NJL&Ik AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. (a the matter of the Arbitration Between Dean Witter Reynolds, Inc. NASD Arbitration No. 93-00536 Stephen Biodhag For Claimant: Robert T, Sullwoki, Esq. - Onidu Heniagtoo & Sutctiffe - Sen FnuttttCft* Ca. For Respondent: In Pro Se Statement of Claim filed; February 12, 1993 Claimant's Submisctoa Agreement signed: February 9, 1993 Statement of An«wer Bled: Apiil 9» 1993 Res

J 4fe N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul N. Marcus, custodian Vs. 93-00532 Name of Respondents Leonard G. Collins Pflueger & Baerwald, Inc. REPRESENTATION Claimant, Paul N. Marcus as custodian for Jessica E. and Miriam E. Marcus, was not represented by counsel. Respondents, Pflueger & Baerwald, Inc. ("FBI") and Leonard Collins ("Collins"), were