N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ray Volpe vs. 93-01009 Name of Respondents Louis Kovacs Gale R. Donovan Stanley Goldring REPRESENTATION Claimant appeared pro se. For Respondents Louis Kovacs and Stanley Goldring: Norman S. Lawi, Esq. in-house counsel at Ladenburg, Thalmann & Co., Inc. For Respondent Gale R. Donovan: Leon Reich, Esq. of the law off

A N.A.SJX AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Robert Burnham NASD Arbitration No 93-00999 Name of Respondent Santa Barbara Securities, Inc. REPRESENTATION For Claimant: Leo Federman, Investors Rights Association, Santa Barbara, California and Dennis Merenbach, Esq., Santa Barbara, California For Respondent: Victor Zilinskas, Esq., Zilinskas & Thompson, Santa Ba

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) FAITH K. DIBBLE and ROBERT E. DIBBLE, SR. ) Claimants ) v. ) NO. 93-00996 ) INVESTMENT TIMING & RESEARCH, INC. and ) PETER C. BUCCHIERI > Respondents ) For Claimants; Ronald L. Cheyney, Esq., Boston, MA For Respondents : Grover s. Parnell, Jr. , Esq. of Davis, Malm fc D'Agostine, P.C. , Boston, MA 02108 CASE IMPORMATTON Statement of Cl

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS — In the Matter of the Arbitration Between Name of Claimant Donald Barrett 93-00995 Name of Respondent Jeffrey H. Supinsky CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 16, 1993, Claimant Donald Barrett, who appeared Pro Se, alleged that on December 2, 1992 his account was transferred to Sovereign Equity Management with Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Cheryl S. Henoch, Laurie S. Brock vs. NASD #93-00994 Name of Respondents M.L, Stern & Company, Robert P. Yorba,EEI For Claimant: Timothy D. McGonigle, Esq., of Ruben, Crispi & McGonigie of Los Angeles, California. For Respondents: Michael Holtzman, Esq. of Cambria, California. CASE INFORMATION Statement of Claim fi

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Amar K. Savla ) Chandrika A. Savla ) ) Claimants ) ) Case Number 93-00993 Painewebber, Inc. ) Allan Douglas ) ) Respondents ) REPRESENTATION Claimants, Amar K. Savla and Chandrika A. Savla ("the Savlas") were pro se. For Respondents, Painewebber, Inc. ("PW") and Allan Douglas ("Douglas"): Malcolm V. McKay, Esq. of Carlton, Fields, Ward, Emmanuel, Smith & Cutler, P.A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marty Wynne Murphy 93-00989 Name of Respondent Kemper Securities, Inc. REPRESENTATION For Claimant: Marty Wynne Murphy ("Murphy") was represented by Barrett W. Stetson, Esq. of Dallas, Texas. For Respondent: Kemper Securities, Inc. ("Kemper") was represented by Michael L. Brem, Esq. of Baker & Botts, located in Houston, Tex

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Randi L. Berner 93-00988 Name of Respondents Prudential Securities, Inc. Robert Tonnesen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March IS, 1993, Claimant Randi L. Berner, who appeared Pro Se, alleged that in April, 1985 she started investing $2,000.00 per year in

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William D. Berner 93-00987 Name of Respondents Prudential Securities, Inc. Robert Tonnesen CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on March 15, 1993, Claimant William D. Berner, who appeared Pro Se, alleged that in April, 1985 he started investing $2,000.00 per year

Stipulated Award NASD Dispute Resolution in the Matter ot the Arbitration between: Name of the Clainiant Case Number: 00-03597 Raymond James £j Associates, Inc. Names of the Respondents Hearing Site: Boca Raton, Florida Janney Montgomery Scott LLC Sean Donald Paso6e Laurel Ann Salsberry REPRESENTATION OF PARTIES For Raymond Janfies & Associates, Inc. ("RJA") hereinafter referred to as "Claimant": Michael A. Brady,JTate, Lazarini & Beall, PLC