N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Randall M. Cutts 95-01379 Name of Respondent Prudential Securities, Inc. REPRESENTATION Claimant Randall M. Cutts ("Cutts") appeared pro se. • •* For Respondent Prudential Securities, Inc. ("Prudential") appeared William W. Allen, Esq. of the firm Gess, Mattingly & Atchison located in Lexington, Kentucky. CASE INFORMATI

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mitchell Spearman 95-01376 Name of Respondents Morgan Keegan & Company Inc. Charles N. Barth REPRESENTATION For Claimant, Mitchell Spearman ("Spearman 11 ): Roy B. Dalton, Jr., Esq. of Martinez DaJton Dellecker & Wilson, Orlando, Florida. For Respondent, Morgan Keegan & Company, Inc. ("Morgan Keegan 11 ); Al

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald E. Buck 95-01374 Name of Respondent^ Hanover, Sterling & Co. Ltd. Christopher Wolf CASE ^UMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimant Donald £. Buck, who appeared Pro Se, alleged that Respondent Hanover, Sterling & Co., Ltd. ("HSC"), and Christopher Wol

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alfred Daniel Eliason 95-01373 Name of Respondents Richard S. Youngberg Torrey Pines Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimant, Alfred Daniel Eliason, who appeared Pro Se, alleged that Respondents Richard S. Youngberg ("Youngberg") an

I Award NASD Dispute Resolution In the Matter of the Arbitration Between: Adel F. Samaan, M.D., and Adei F. Samaan IRAs, Claimants v. Erland Peterson, William P. Barnard, Neal Edwin Nakagiri, John R. Lindsey, Sean P. McGaughey, Murli D. Sujanani, Associated Securities Corporation flea Associated Planners Securities Corporation, Associated Planners Investment Advisory, Associated Financial Group, Philip N. Gainsborough, Respondents Case Number: 00-04642

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold and Jean L. Blatt 95-01370 Name of Respondent Hanover Sterling REPRESENTATION Claimants Harold Blatt and Jean L. Blatt ("Claimants") appeared pro se. Respondent Hanover Sterling ("Respondent") did not appear CASE INFORMATION The Statement of Claim was filed March 28, 1995 Claimants' Submission Agreement was

FeB-05-1996 16:57 FROM TO 1212B584141 P.02/15 ; ; NASD AWARD NATIONAL ASSOCIATION OF SECUBITEES DEALERS, INC. In the Matter of the Arbitration Between Joan and Vent Trombley 95-01369 aod Resondents Scott and Ivars Kauls REPRESENTATION OF PARTIES Joan and; Vern Trombley ("Claimants") appeared pro se. Scott and Ivars Kauls ("Respondents' 1 ) were represented by James K. Langdon, H, Esq. of Minneapolis* Minnesota- CASE INFORMATI

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s') James and Knar Goulian 95-01366 Name of Respondentfs') Prudential Securities Inc REPRESENTATION For Claimants James and Knar Goulian ("Claimants"), Joseph M. Kennedy, Esq. of the firm Harwood Lloyd located in Hackensack, New Jersey. For Respondent Prudential Securities, Inc. ("Respondent"), Mihal Nihari, Esq. of the firm Bu

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Invest Financial Corporation v. Arbitration No. 95-01363 Name of Respondent^ RFCA Financial Services, Inc. Bradford J. Barker Monica Welch REPRESENTATION For Claimant: Eugene B. Harper, Esq., Invest Financial Corporation, Tampa, Florida For Respondent RFCA Financial Services: Robert Tretiak, RFCA Financial Services, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Albert R. Mull 95-01357 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. James A. Chippi CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimant Albert R. Mull ("Claimant"), who appeared Pro Se, alleged that Respondents Merrill Lynch, Pierce, Fenner