N.A.S.D. AWAKD NATIONAL ASSOCIATION OF SECURITIES DEALERS Carroll Keith Willard, Claimant, v. No. 93-01273 Norwest Brokerage Services a/k/a Norwest Investment Services, Inc., Respondent. REPRESENTATION OF PARTIES For Claimant: Jon Jabenis, Esq., of Gallup, Schaefer, Riha, Dornan, Jabenis and Shapiro, Omaha, Nebraska. For Respondent: Lawrence Hoffman, Esq., of Zelle and Larson, Minneapolis, Minnesota, and Shed Gould, Esq., of Norwest Corp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Foresters Equity Services, Inc. No. 93-01272 Name of Respondent Gene Lavine REPRESENTATION OF PARTIES For Claimant: John P. Cione, President, Foresters Equity Services, San Diego, California, appeared by speaker phone. Jim Stahl, a registered representative of Foresters Equity Services, Inc., appeared at the hearing. Respondent Gene Lavine failed to appear at the

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lucille Smith 93-01268 Name of Respondents Stifel, Nicolaus & Company, Inc. REPRESENTATION For Claimant: Lucille Smith ("Smith") was represented by Harry O. Moline, Esq. and Sherri C. Strand, Esq. of Moiine & Shostak, located in St. Louis, Missouri. For Respondent: Stifel, Nicolaus & Company, Inc. ("Stifel") was represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Discover & Co. 93-01266 Name of Respondents Andrea L. Printy Family Trust, David L. Printy, David Luther Printy, and Charles B. Printy, E REPRESENTATION For Claimant at the hearing: Michael J. Nilan and Mullen Dowdal, Esq. of Popham Haik Schnobrich & Kaufman Ltd., Minneapolis, Minnesota. For Respondents at t

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ann G. Swanson & Russell Swanson 93-01265 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Jacqueline Strauss (Knoll) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 31, 1993, Claimants Ann G. and Russell Swanson, who appeared Pro Se, alleged that in Apri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Claudia Cosgrove 93-01255 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant: Sharon Sobers, Esq. of Tobias, Kraus & Torchia. For Respondent: David K. Montgomery, Esq. of Keating, Muething & Klekamp. CASE INFORMATION Statement of Claim filed: March 30, 1993. Claimant's Submission Agreement sig

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Maynard B. and Shirley A. Stevenson 93-01251 Name of Respondents Kidder, Peabody & Co., Inc. Andrew C. Anagnostou CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 30, 1993, Claimants Maynard & Shirley Stevenson, who appeared Pro Se, alleged that Respondent Kidder, Peabody & C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carla M. Miller MODIFIED AWARD 93-01249 Name of Respondents Brent Jay James B. Castles CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 30, 1993, Claimant Carla M. Miller, who appeared Pro Se, alleged that Respondent James B. Castles, an employee of International Business

T i. N.A.S.D, AWARD , - - .. , j ^"»' »-• NATIONAL ASSOCIATION OF SECURITIES In the Matter of the Arbitration Between ' **\ r _ Name of Claimant • '' ' ' '" •*""'• Dean Witter Reynolds, Inc. 93-01246 Name of Respondent Robert C. Whitney REPRESENTATION For Claimant Dean Witter Reynolds, Inc. at the hearing: Gary Saretsky, Esq. of Hertz. Schram & Saretsky, P.C., Blor- -id, Michigan. For Respondent Robert Whitney, at

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between TsJgmp nf P.laimnnt Martha A. Nisley Case No. 00-03611 Prudential Securities, Inc. Tod Shoffler Robert A. Mayer Hearing Site: Philadelphia, PA -Claimant, Martha A. Nisley, hereinafter referred to as "Claimant" represented herself at the • ^; < "' hearing. / ; ;:' Respondents, Prudential Sccuritles;lnc.'"( 'iyieHfel"). Tod Shoffler O'Shoffler'^ and Rbbertl