N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael A. Young 93-01990 Name of Respondents Van Clemens & Co. Kennedy, Mathews, Landis, Healy & Pecora Donald Leslie Johnson REPRESENTATION For Claimant at the hearing: Gregory L. WUmes, Esq. and Mark J. Brioi, Esq. of Briol & Wilmes, Minneapolis, Minnesota. For Respondent Van Clemens & Co. at the hearing: John R. Dor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name nf Claimant (s) Michael Donnelly NASD Arbitration vs. #93-01988 Name of Respondent^) Sutro & Co., Inc. REPRESENTATION For Claimant: Morris J. Bailer, Esq., Morris, Reid & Sheehy, San Francisco, California For Respondent: Abe Lampart, Esq., Sutro & Co., Inc., San Francisco, California CASE INFORMATION Statement of Claim filed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ayoob Khodadadi, (Claimant) vs. Colernan & Company Securities, Inc. and Sherwin M. Zanjanian, (Respondents) Case Number: 00-03687 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ayoob Khodadadi, hereinafter referred to as "Claimant": Alice K. Jump, Esq., Attorney at Law, New York, NY. Respondent, Coleman & Company Securities, Inc. ("Coleman"), did not ap

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Christy Sargent and Erich Seelye (JTWROS) 93-01978 Name of Respondents Olde Discount Corporation Brian J. Herskovitz CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 18, 1993, Claimants Christy Sargent and Erich Seelye, who appeared Pro Se, alleged that Respondent Olde Discount

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Susan Moss 93-01973 Name of Respondents Prudentiai-Bache Securities Inc. Roy H. Savarick REPRESENTATION Claimant, Susan Moss, ("Moss"), was represented by Robert Wayne Pearce, Esq. of Lerner & Pearce, P.A., Ft. Lauderdale, FL. Respondents, Prudential-Bache Securities Inc., ("Prudential"), and Roy H. Savarick, ("Savarick

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS i»* In the Matter of the Arbitration Between Name of Claimant Griffin Financial Services 93-01944 Name nf Respondent Jonathan Mark Jennings CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 14, 1993, Claimant Griffin Financial Services, through it's representative, Gary A. Virnick, Compliance Administrator, alleged that Respondent Jonat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David Arthur Kliff 93-01928 Name of Respondents LaSalle Street Securities, Inc. & Jack McDermott REPRESENTATION OF PARTIES For Claimant at the hearing: Jeffrey B. Kelvin, Esq., Financial Planners Assistance, Plymouth Meeting, Pennsylvania. For Respondents at the hearing: David A. Genelly, Esq. of Fishman & Merrick, P.C., Ch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George M. Grabowski 93-01923 Name of Respondents Dean Witter Reynolds, Inc. William Q. Perrott SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 13, 1993, Claimant George M. Grabowski, who appeared Pro Se, alleged that Respondents Dean Witter Reynolds, Inc. and William Q. Perrott used

SOOd WV/.*:60 t6-9I-90 11-11 898 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dennis James Karol 93-01905 Name of Respondents Sherwood Capital, Inc. David C. Dever Frederic W. Rittereiser Gregory M. Hasho For Claimant Dennis James Karol: pro se. For Respondent Sherwood Capital, Inc.: Jeffrey P. Flynn, Esq. of Crummy, Del Deo, Dolan, Griffinger, & Vecchi. F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sidney Jacoby 93-01900 Name of Respondents Prudential Securities, Inc. George E. Anderson, m CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 12, 1993, Claimant Sidney Jacoby, through his counsel Edward W. Russey, m, Esq., alleged that Respondent George Anderson, m, through the