N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Wiley M. Mangum Jr. and F. Christina Mangum 93-02393 Name of Respondents Whale Securities Co., L.P. Jack Joseph Illare, HI REPRESENTATION Claimants Wiley M. Mangum, Jr. and F. Christina Mangum appeared pro se. For Respondents Whale Securities Co., L.P. ("Whale") and Jack Joseph Illare, m ("Illare") appeared David S. Richan

N.A.S.D. AWATvD NATIONAL ASSOCIATION OF SECURITIES DEALERS Jay Jablonski, Claimant/Counterrespondent, v. No. 93-02386 Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson, Respondent/Counterclaimant REPRESENTAHON OF PARTIES For Claimant Jay Jablonski ("Claimant"): Armand Salese, Esq., of Salese & McCarthy, P.C., Tucson, Arizona. For Respondent Shearson Lehman Brothers, Inc. ("Respondent"): Stephen Young, Esq., and Elizabeth A. Kend

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary E. Cummings Trust, David Rifkin TTE Case # 93-02379 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant, Mary E. Cummings Trust, David Rifkin TTE ("Claimant"), David W. Rifkin, Esq. of the Rifkin Law Offices located in Salem, Massachusetts. For Respondent, Shearson Lehman Brothers ("Respondent"),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joel and Julie Yohay 93-02378 Name of Respondent Waxtnan Securities, Inc. REPRESENTATION For Claimants Joel and Julie Yohay ("Claimants"): Mark F. Heinze, Esq. of the law firm of Monaghan, Rem & Zeller, P.C. located in Hackensack, New Jersey. For Respondent Waxman Securities, Inc. ("Respondent"): Thomas J. McCabe, Esq. of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Gilbert Award vs. #93-02372 Name of Respondents Shearson Lehman Brothers, Inc. Smith Barney Harris Upham & Co., Inc. Louis M. Riccardi, Jr. REPRESENTATION For Claimant, John Gilbert ("Claimant"), Bruce E. Baldinger, Esq., located in Sommerville, New Jersey. For Respondents, Smith Barney Harris Upham & Co., Inc.

t _ ^SCHOOL OF US N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS', INC. In the Matter of the Arbitration Between - ' • -- . Name of Claimant " ";^ F Donald Wayne Stanfill / and 93-02371 Name of Respondent J.J.B. Hilliard, W.L. Lyons, Inc. REPRESENTATION OF PARTIES Donald Wayne Stanfill ("Claimant") was represented by John J. Hestle, Esq. of Clarksville, Tennessee. J.J.B. Hilliard, W.L. Lyons, Inc. ("Respondent") was re

JUL-06-1995 16:01 FROM TO 12128584429 P.05/16 N.A.S,D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Seymour S, Kain Living Trost 93-02370 Name of Respondent Cbatfieid Dean & Co. CASESIMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on June 14, 1993, Claimant Seymour S. Kain Living Trust Dated March 1, 1988 ("Kain*), who appeared pro se

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Financial Clearing & Services Corp, 93-02365 Name of Respondent Charles Malico REPRESENTATION For Claimant: Stuart N. Kingoff, Esq. of Wexler & Burkhart, P.C. For Respondent: Charles Maiico appeared pro-se. CASE INFORMATION Statement of Claim filed: June 11. 1993. Claimant's Submission Agreement signed on: Ap

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Dale Bodnar 93-02360 Name of Respondent Jeffrey L. Chesler CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 15, 1993, Claimant Robert Dale Bodnar, who appeared Pro Se, alleged that in August, 1988 he spoke to Respondent Jeffrey L. Chesler, representative from First Eagle, In

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Benjamin Singer 93-02359 Name of Respondents Halpert and Company, Inc., Michael Citron and Alan Halpert REPRESENTATION For Claimant Benjamin Singer ("Claimant"): Claimant appeared Pro se. For Respondents Halpert and Company, Inc. ("Halpert and Company"), Michael Citron ("Citron") and Alan Halpert ("Halpert"): Mari-Anne