N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Monte S. Meltzer 93-01562 Name of Respondents Cantella & Company, Inc. James W. Bullard, Jr. Portfolio Asset Management, Inc. REPRESENTATION For Claimant Monte S. Meltzer ("Claimant"): pro se For Respondent Cantella & Company, Inc. ("Cantella"): Arthur P. Fisch, Esq., of the law firm of Fisch & Kaufman, New York, New Yo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ralph E. Innis 93-01559 Name of Respondents Robert Thomas Securities, Inc. Chester B. Marcus CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 20, 1993, Claimant Ralph E. Innis, who appeared Pro Se, alleged that he called his broker, Respondent Chester B. Marcus, on March 17, 1

N.A.S.D. AWARD NATIONAL ASSOCTATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant NASD Arbitration Prudential Securities, Inc. No. 93-01554 v. Namq flf Respondent Louis Rosalia REPRESENTATION For Claimant: Patricia A. Fitzpatrick, Esq., of Prudential Securities, Inc., New York, New York For Respondent: John Huiskamp, Esq., of Duke, Gerstel, Shearer & Bregante, San Diego, California CASE INFORMATION

NASD Arbitration No. 93-01552 N - A- S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DKAJ^RS. INC. In the matter of the Arbitration Between Name of Claimant(s) Wayne DeFontes Namp of Respondent(s) Olde Discount Corporation Brandon Brooks REPRESENTATION For Claimant: Jeff Dennis Ferentz, Esq. and Michael Huberman f Esq., Greenbaum and Ferentz, Newport Beach, California For Respondent Olde Discount Corporation: Bruce A- Campbell,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD In the Matter of the Arbitration Between Don E. Ehrlich Bruce A. Biddick La Jolla Securities Corporation NASD No. 93-01550 Claimant Respondents Bruce A. Biddick La Jolla Securities Corporation Counterclaimants v. Don E. Ehrlich Does 1 through 20 Counterrespondents REPRESENTATION For Claimant: Gregg Johnson, Esq., San Diego, California For Respondent: Richard L

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael Poolos, Claimant v. Presidential Brokerage, Inc. and Stephen W. Krochta, Respondents Case Number: 00-03652 Hearing Site: San Diego, California REPRESENTATION QF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondents: Gregg A. Johnson, Esq. Attorney at Law San Diego, California CASE INFORM

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. and 93-01541 Name of Respondent Scott F. Lewandowski REPRESENTATION OF PARTIES Prudential Securities, inc. ("Claimant") was represented by Warren Gouid, Esq. of Gould, Broude & Nelson, P.C., Fort Worth, Texas. Scott F. Lewandowski ("Respondent") was represented by Janie L Frank, Esq. of Sha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Richard D. Piecuch, Claimant, v. No. 93-01539 Financial Architects Securities Corporation, Jerome William Morris, Sr., Wedbush Morgan Securities, Inc., and James Anchony Geary, Sr., Respondents. REPRESENTATION OF PARTIES Claimant Richard D. Piecuch was represented by Buddy Rake, Jr., Esq., and Scott M. Zurlot, Esq., of Rake and Downey P.C., Phoenix, Arizona. Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kerry R. Windmuller 93-01529 Name of Respondent James P. Braseth, n CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 16, 1993, Claimant Kerry R. Windmuller, who appeared Pro Se, alleged that Respondent James Braseth n of the firm Hayne, Miller & Farni, Inc. made promises and guara

N.A.S.D. AWARD NATIONAL ASSOCI ATI ON OF SECURITIES DEALERS h the Matter of the Arbitration Between Name of Claimantfs) Kenneth and (Sril Rosenthal 93-01523 Name of Respondent(s) Shearson Lehman Hutton, Inc, Donald I. Levy REPRESENTATION For Claimants, Kenneth and Gail Rosenthal f'Rosenthal 11 ): pro se by Kenneth Rosenthal. For Respondents, Shearson Lehman Brothers, Inc. ("Shearson") and Donald I. Levy ("Levy"): Ellen Slipp,