N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Irving and Marilyn Golombeck 95-00639 Name of Respondents Alex V. Folgen La Jolla Capital Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 8, 1995, Claimants Irving and Marilyn Golombeck ("Claimants"), who appeared Pro Se, alleged that Respondents Alex V. Folge

N-A-S.D. AWARD NATTONAT. ASSOCIATION OF SRTTTRITIRS DEALERS, TNf! In the matter of the Arbitration Between Name nf f!laimant(s) Klaus Wronker NASD Arbitration No. 95-00636 Name nf Respnndent(s) Charles Schwab & Company, Inc. REPRESENTATION For Claimant : Klaus Wronker, In Pro Per For Respondent: Gail M. Gebstadt, Esq. Charles Schwab & Company San Francisco, California CASE INFORMATION Statement of Claim filed: February 8, 199

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of the Claimant Case Number: 00-03838 Salvatore R. Caruso Names of the Respondents Hearing Site: Tampa, Florida Raymond James & Associates, Inc. Irwin Glazer Harris Eugene Bunkin REPRESENTATION OF PARTIES For Salvatore R. Caruso ("Caruso"), hereinafter referred to as "Claimant": Michael Waldorf, Esq., New York, New York. For Raymond James & Associates, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roger and Tammy Bryan 95-00635 Name of Respondent Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 7, 1995, Claimants Roger and Tammy Bryan ("Claimants"), who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. ("Respondent"), misrepr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lorena V. Manrod 95-00634 Name of Respondents A.G. Edwards & Sons, Inc. Robert A. Lyons CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 7, 1995, Claimant Lorena V. Manrod, ("Claimant"), through her representative, Donald M. Feferman, Esq., of Feferman & Renler, L.L.P., loc

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Cheryl A. Horowitz 95-00631 Name of Respondent Ladenburg, Thalmann & Company REPRESENTATION For Claimant, Cheryl A. Horowitz ("Claimant"), appeared Kenneth A. Lapatine, Esq., of the law firm Camhy Karlinsky & Stein located in New York, New York. For Respondent, Ladenburg, Thalmann & Company ("Respondent"), appeared Robert Weintraub, Es

NASD Arbitration No. 95-00628 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Albert F. Triller and Susan M. Triller Name of Respondent^ Paine Webber, Inc., Joel Schwartz and Larry Wood REPRESENTATION For Claimants: Victor J. Daniels, Esq. Encino, California For Respondents: Kathryn L. Krebs, Esq. Paine Webber, Inc. Los Angeles, California CASE INFOR

Case Number 95-00627 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Anthony and Ernestine Spirito Name of Respondent Prudential Securities Inc REPRESENTATION For Claimant: Gregory G. Campisi, Esq Roseland, New Jersey For Respondent: Gerard J. Kowalski, Esq. New York, New York CASE INFORMATION Statement of Claim was filed on February 7, 1995 Claimant's S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Helen G. Anderson 95-00626 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Judith Ann Zaleski RTCPRFSKNTAHON For Claimant: Ted B. Edwards, Esq. of Smith, Mackinnon, Harris, Greeley, Bowdoin < Sc Edwards, P. A., Orlando, FL. For Respondents: Gregory J. Kelly, Esq. of Akerman, Senterfitt & Eidson, P. A., Orland

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Principal Financial Securities, Inc. and 95-00621 Name of Respondent Rauscher Pierce Refsnes, Inc. Glenn Dean Childres Jerry Lee Travers REPRESENTATION OF PARTIES Principal Financial Securities, Inc. ("Claimant") was represented by William J. Albright, Esq., Figari & Davenport, L.L.P., Dallas, Texas and Brian J. Hurst, Es