ttffiuc t N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the" Arbitration Between Name of Ciaimants Robert and Ann Fischer 92-04011 Name of Respondents Berkeley Securities Corporation Avin E. Bakal CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on November 27. 1992. Claimants Robert and Ann Fischer, who appeared Pro Se. alleged that on June 12. 1992 Claimant Rob

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph L. Artiga Joseph M. Artiga Bamfec Corp. Conitex USA, Inc. 92-04010 Name of Respondents Prescott, Ball & Turben, Inc. Donald A. Ballarini REPRESENTATION For Claimants: David Furr, Esq. For Respondents: Daniel Roy, Esq. of Coffield Ungaretti & Harris. CASE INFORMATION Statement of Claim filed: November

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Helen Ketzner 92-04008 Name of Respondent(s) Berkeley Securities Corporation Marsha A. Bakal REPRESENTATION Claimant appeared pro se. For Respondent Berkley Securities Coip.: Phyllis Henderson, Esq. in-house counsel at Berkley Securities Corp. Respondent Marsha Bakal appeared pro se. CASE INFORMATION

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Allen Herzlich 92-04007 Name of Respondent Prudential Securities Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on November 27, 1992, Claimant Allen Herziich. who appeared Pro Se, alleged that in April, 1987 Respondent Prudential Securities, Inc., by and through Warren Wes

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Cowen & Company 92-04001 Name of Respondent^ si Thomas M. Dean REPRESENTATION For Claimant: Mathew Farley, Esq. of Shanley & Fisher. For Respondent: David Touger, Esq. of Peluso & Touger. CASE INFORMATION Statement of Claim filed: November 23, 1992. Claimant's Submission Agreement signed on: November 23, 1992. St

N.A.S.T). AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimantisi Steve Shirley 92-04000 Name of Respondents) Smith Barney Harris Upham & Co.. Inc. Mike Scarbrough REPRESENTATION For Claimant Steve Shirley ("Claimant"): Steve Shirley appeared pro se. For Respondents Smith Barney, Harris Upham & Co., Inc. and Mike Scarbrough ("Respondents"): David S. Friedman. Esq. from the firm of Smi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alicia M. Czorny 92-03994 Name of Respondents Legg Mason Wood Walker, Inc Gary J. Koepenick REPRESENTATION For Claimant Alicia M. Czorny ("Claimant"): Foster S. B. Friedman, Attorney at Law For Respondents Legg Mason Wood Walker, Inc. ("Legg Mason") and Gary J. Koepenick ("Koepenick"): Dana N. Pescosolido, Esq. of the l

N.A.S.D. AWARD NATTOMAT ASSOCIATION OF SECURim?*; nFAT.FRS. TNC. In the matter of the Arbitration Between Name of Claimant Roger McCosker NASD Arbitration vs. #92-03991 Manie of Respondents Noddings & Associates, Inc. Noddings Investment Group, Inc. REPRESENTATION For Claimant: Mark J. Romeo, Esq. San Francisco, California For Respondents: Daniel J. Voelker, Esq. Seyfarth, Shaw. Fairweather & Geraldson. Chicago, Illinois CASE

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joanne and Edward McCormick 92-03990 Name of Respondents Horace M. Lowman, Jr. William F. Haneman, Jr. Joseph C. DeNicola CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 25,1992, Claimants Joanne and Edward McCormick, who appeared Pro Se, alleged that at approx

Consent Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Overseas Oil Company-Bahamas LTD., Claimant vs. Prudential Securities Inc., Claude Benzaquen, Juan Garcia and Andrew Banks, Respondents Case Number: 00-05016 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Overseas Oil Company-Bahamas LTD ("Overseas Oil") hereinafter referred to as "Claimant": Jeff Dennis Ferentz, Esq., Greenbaum & Ferentz LLP, Newport B