N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ming Ling Hsue 93-00380 Name of Respondents Pyramid Financial Corp. Chaosong Hsue Fengjui (a.k.a. Nancy) Sun John (aka Juan) Hsu CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1993, Claimant Ming Ling Hsue, who appeared Pro Se, alleged that Respondent Pyramid Finan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant J.W. Charles Securities, Inc. 93-00373 Name of Respondent Steven B. Soloman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1993, Claimant JW Charles Securities, Inc., through its counsel Gregory Tendrich, Esq., Boca Raton, FL, alleged that Respondent Steven Soloman has fai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Claimants James H, and Bonnie L. Lear 93-00370 Name of Respondents Protective Group Securities Corporation Michael Flannigan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1993, Claimants James H. and Bonnie L. Lear who appeared Pro Se. alleged that they purchased Euro Disneyla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert and Jeannette Kotowski 93-00367 Name of Respondents Prudential-Bache Securities Inc. Jerome Gendron Michael Durdil REPRESENTATION For Claimants, Robert and Jeanette Kotowski, at the hearing: Scott Goldsher, Esq. of Goldsher and Goldsher, Chicago, Illinois. For Respondents, Prudential Securities, Inc., Jerome Gen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Frank J. & Marie R. Salem 93-00362 Name of Respondent Hibbard Brown & Company Inc. REPRESENTATION Claimants, Frank J. and Marie R. Salem appeared pro-se. For Respondent, Hibbard Brown & Company, Inc.: Steven B. Caruso, Esq. of Hibbard Brown & Company Inc. CASE INFORMATION Statement of Claim filed: February 1, 1993.

N.A.SJD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Amy Seward NASD Arbitration No. 93-00359 Name of Respondent Bear Stearns & Company REPRESENTATION For Claimant: C. Fred Cassity, Esq. - Pasadena, California For Respondent: Terry Ross, Esq. - Keesal, Young & Logan - Long Beach, California CASE INFORMATION Statement of Claim filed: February 2, 1993 Claimant's S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Caldwell 92-04097 Name of Respondent Allan Torrey CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 4, 1992, Claimant John Caldwell, who appeared Pro Se, alleged that he opened an account with Respondent Allan Torrey at Pmdential-Bache Securities, Inc. during mid-March, 199

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dee Cravens, Claimant v. Morgan Stanley Dean Witter, Inc., Respondent Case Number: 00-05028 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Joseph A. Scanlan, Esq. David I. Kornbluh, Esq. Miller, Morton, Caillat & Nevis San Jose, California For Respondent: Gilbert R. Scrota, Esq. Peter J. Drobac, Esq. Howard, Rice Nemerovski, Can

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William and Carol Shopland 92-04096 Name of Respondents Bear Stearns & Co. Inc. Vicky Abrams REPRESENTATION For Claimants William and Carol Shopland ("Claimants"): Gregg P. Tobakin, Esq., of Weiner Lesniak. roi Respondents Bear Stearns & Co. Inc. ("Bear Stearns") and Vicky Abrams ("Abrams"): James H. Hubbert, Esq. of B

NATIONAL ASSnriATTQN Qf SprTmiTTES DRALERS In the Matter of the Arbitration Between n Gordon L. Ritchie M4 «. . ... .. NASD Arbttrttioa No. 92^4095 rrf Franklin Lord, Inc. Richard C. Whfilaa For Claimant; Gordon L. Ritchie, DwriUe, California For Rnpoodeiitt: H Thooas Fehn, Big.* Reldf, Fdin & Shwwin, Loi A CaUftwrna r AfiR Statement of Claim filed: Decembers, 1992 Claimant's Submission Agreement signed: November 30, 1992