N.A,S.D. AWARD NATIONAL ASSOCIATION OF SECU10HES DEALERS In the Matter of tlie rrf r L. Cofea, Joint Tenants Mb. 93-00436 A.G. & Sow, Inc. Caidwdl, For SlespoedenU; Esq., of Hwskcll, Doncteon. Beaiman, Adams, Williams & , B&q., Litigation Counaci, A.G. Bdwazds & Sons, Inc., St. Febmary 4, 1993. ' SobntissJon AgrceoxsaA signed om Bebnaoy 18 t 1993. Joto Stot&roe^ of Answer at^exhii^^ . fidwa^ & Sons» loc/s Subm

N.A.S:D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Lyons, Jr. 93-00434 Name of Respondents Michael P. Hegarty Jeremiah J. Hegarty Financial Securities Network, Inc. Hyannis Trading Advisors, Inc. REPRESENTATION For Claimant Robert Lyons, Jr. ("Claimant"): Anthony J. Horn, Attorney at Law, Philadelphia, PA Respondent Michael P. Hegarty ("M. Hegarty") represent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rebecca Eaton 93-00433 Name of Respondents Prudential Securities Inc, Guy Luedke REPRESENTATION For Claimant, Rebecca Eaton ai the hearing: Rebecca E. Bender, Esq. of Rebecca Bender & Associates, P.A., Minneapolis, Minnesota. For Respondent, Prudential Securities, Inc. at the hearing: Peter Byer, Esq. of Prudential Secu

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Paul G. Korte 93-00431 Name of Respondent Kober Financial Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 4, 1993, Claimant Paul G. Korte, through his counsel W. Woody Schlosser, Esq. of Puriceili & Schlosser, St. Louis, MO, alleged that Respondent Kober Financia

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION CF SECURITIES DEALERS In the Matter of the Arbitration Between Christopher N. Wilson 93-00430 Naia« Kober Financial Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 4, 1993, Christopher Wilson, through his counsel W. Woody Schlosser, Esq. of Puriceili & Schlosser, St. Louis, MO, alleged that Respondent Kober Financial Coip. misled him into

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fred Viertel 93-00422 Name of Respondents First American Securities, Inc. A. Jack Burney, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 4, 1993, Claimant Fred Viertel, who appeared Pro Se, alleged that he bought Scottsville Ky. Health Fac. Rev. with a trade date of J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marv Garrett 93-00408 Name of Respondent Prudential Securities Incorporated, f/k/a Prudential-Bache Securities. Inc. REPRESENTATION For Claimant: Mary Garrett ("Garrett") was represented by Reid Mclnvaie, Esq. of Mclnvale & Mclnvaie, Houston, Texas. For Respondent: Prudential Securities Incorporated, f/k/a Prudential-Bache

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants James Alan Lengtel Emma Lengtel vs. Case # 93-00406 Name of Respondents Olde Discount Corporation Tony Curnow REPRESENTATION Claimant, James Alan Lengtel ("Claimant") appeared pro se. For Respondents, Olde Discount Corporation ("Olde") and Tony Curnow ("Curnow"), Ina N. Otto. Esq., in-house counsel of Olde. CASE IN

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Nancy Nechay Case No. 00-05031 Merrill Lynch Pierce Fenner & Smith, Inc Hearing Sitfv Baltimore, Maryland ° Claimant, Nancy Nechay ("Nechay"), hereinafter referred to as "Claimant": Steven Schwartz, Esq., Dover, Delaware. Respondent, Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch") hereinafter referred to as "Respondent": Kevin T. Duffy, Jr., Esq., Office

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Allan N. Goberman 93-00405 NamejpfRespondenfts Merrill Lynch Pierce Fenner & Smith Inc Gregory H. Rutter REPRESENTATION For Claimant Allan N. Goberman ("Claimant"): David L. Williams, Esq., of the law firm of Morgan, Hallgren, Crosswell & Kane, P.C., Lancaster, Pennsylvania. For Respondents Merrill Lynch Pierce Fenner & Smi