PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Raj Bhushan & Usha Sood 93-02066 Name of Respondent^ PaineWebber, Inc. David R. Striplin REPRESENTATION For Claimants Raj Bhushan and Usha Sood: Robert B. Eubank, Esq., Birmingham, AL. For Respondents PaineWebber, Inc. and David R. Striplin: A. Inge Selden, Esq. of the law firm of Maynard Cooper and Gale, P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sara Devine 93-02058 Name of Respondent Kidder, Peabody & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 24, 1993, Claimant Sara Devine, who appeared Pro Se, alleged that Respondent Kidder, Peabody & Co., Inc., through its former broker, Tim Sheehan, misled her into beli

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03689 Joyce J. Edwards, Claimant vs. WM Financial Services, Inc., Andrew Stout, Hans Henselman, and Marvin Scofield, Respondents. ATTORNEYS: Claimant, Joyce J. Edwards, ("Claimant"), appeared Pro Se., Oakland, CA. Respondents, WM Financial Services, Inc., Andrew Stout, Hans Henselman and Marvin Scofield (collectively "Respondents") appeared through Scott J. Stilman, Esq., and Sherrill

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Albert I. Weisskopf vs. Award #93-02025 Name of Respondents Butcher & Singer, Inc. Wheat First Securities, Inc. Butcher & Company Estate of Howard Butcher, HI McBee Butcher Jonathan Butcher - REPRESENTATION For Claimant: Pro Se. For Respondent: Joseph J. Dougherty, Esq. located in West Chester, Pennsylva

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jay K. and Mary C. Desch 93-02020 Name of Respondent Ribband Brown & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 20, 1993, Claimants Jay K. and Mary C. Desch, who appeared Pro Se, alleged that Mr. McAlexander, an employee and representative of Respondent Hibbard Brow

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Lu Nell Barnett Johnson and 93-02017 Name of Respondents Capital Investment Managers, Inc. Camden Coberly a, and F. Gregory Smith REPRESENTATION OF PARTIES Lu Nell Barnett Johnson ("Claimant") was represented by Carl Barnhart, Esq, Fort Worth, Texas. Capital Investment Managers, Inc. and F. Gregory Smith ("Respondents

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Frank & Virginia Russo Jtwros Award vs. #93-02012 Name of Respondents Gruntal & Co., Inc. William Torrey CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 20, 1993, Claimants Frank & Virginia Russo who appeared Pro-Se, _ alleged that on May 17, 1990 Respondent Wil

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William A. Lucas and Delores M. Lucas NASD CASE #93-02007 Name of Respondents Prudential Securities Inc Greg Martino John Beisner REPRESENTATION For Claimant: Milford L. McBride HI, Esq. of the law firm of McBride and McBride, P.C. For Respondent: Foster S. Goldman, Jr., Esq. of the law firm of Klett Lieber Roo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Jack and Rochelle Kluger 93-01996 Name of Respondent(s) J. Gregory & Company, Inc. Michael Hundert REPRESENTATION For Claimants: Joseph Zelmanovitz, Esq. of Stahl & Zelmanovitz. For Respondents J. Gregory & Company, Inc. ("J. Gregory") and Michael Hundert {"Hundert"): Jeffrey S. Rosen, Esq. of De Martino Finklestein

FEB-09-1994 10:24 FROM NflSD-PRB3TRftTION-CNICFGO TO 12128583974 P. 02 NATIONAL ASSOCIATION OF In ttee Matter of the Arbitration Between John and Susan Koral & K & H R^anagement, a General Partnership and nf Rocky Mountain Securities & Investment*, Inc., Terry Steen and Eric Blockhos John and Susan Koral & K & represented by Richard E. Romeo, H Management, a General Partnership ("Claimants") were Esq., Boulder, Colorado. L Se