MPY-10-1994 13 = 02 FROM NflSD-RRBITPflTIQN-CNICflGO TO 12128584141 P. 02 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In tfie Matter of the Arbitration Between Name of Claimant Norman L. Pasnow and 93-02148 Name Shearson Lehman Brothers! Inc. and George P. Laras^Karageorgis i ttEPRESKNTATTOV QV PABTTBS Noraaa L. Pasaow ( < t CLimaiit' T ) was represented by Michael L. Blake, Esq M Denver, Colora

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Michael F. and Shirley Doherty, Debra Doherty, Michelle Noel and Conor McG rath and Names of Respondents Gruntal & Co., LLC, Matthew D. Mitchell Wachovia Securities, Inc. f/k/a Wheat First Union and f/k/a Wheat First Securities and Prudential Equity Group, LLC. Case Number: 00-03697 Hearing Site: Houston, Texas NATURE OF DISPUTE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gary J. and Linda K. Stefani 93-02145 Name of Respondent USAA Investment Management Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 28, 1993, Claimants Gary and Linda Stefani, who appeared Pro Se, alleged that Respondent USAA Investment Management Company failed to provide

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Craig Goshaw 93-02141 Name of Respondents Hibbard Brown & Co., Inc. Kevin Thomas Johnson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 28, 1993, Claimant Craig Goshaw, who appeared Pro Se, alleged that in late April to early May 1992 he received an unsolicited phon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary Pat Wilson 93-02136 Name of Respondent Richard A. Laviola REPRESENTATION For Claimant Mary Pat Wilson: David Crystal, n, Esq. of the law firm of Collier, Cohen, Crystal & Bock located in New York City, New York. For Respondent Richard Laviola: Daniel Torchio, Esq. of the law firm of Kalian & Torchio, P.C. located in Ne

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant James McCauley 93-02131 and Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES Claimant represented himself at the hearing. Respondent was represented by Peter Byer, Esq. of Prudential Securities, Inc., New York, New Yoik, at the hearing. CASE INFORMATION The Statement of Claim was filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ot' the Arbitration Between Name of Claimants Richard T. and Sarah E. McGuerty 93-02128 Name of Respondents Prudential Securities. Inc. David R. Schuitz CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 27, 1993, Claimants Richard T. and Sarah £. McGuerty, who appeared Pro Se, alleged that Respondent David R. Schuitz, thro

N.A.SJ). AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Carol B. Petersen and 93-02123 Name of Respondent Ferren Rajput REPRESENTATION OF PARTIES Carol B. Petersen ("Claimant") appeared pro se. Ferren Rajput ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim was filed on or about May 26, 1993. Submission Agreement of Claimant was signed on June 18,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Richard D. McCutcheon, Claimant, v. No. 93-02113 A,G. Edwards & Sons, Inc. Richard Bundrick, Respondents. REPRESENTATION OF PARTIES For Claimant: Gary P. Barkett, Esq., of the Davidson Law Firm, Ltd., Little Rock, Arkansas. For Respondents: Phyllis A. Radovich, Esq., Litigation Counsel, A.G. Edwards & Sons, Inc., St. Louis, Missouri. CASE INFORMATION Claimant's Statement o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James R. Herndon 93-02110 Name of Respondents Stratton Oakmont, Inc. John Squeri CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 26, 1993, Claimant James R. Herndon, who appeared Pro Se, alleged that Respondent John Squeri, through the Respondent firm, Stratton Oakmont, Inc., u