NASD Arbitration No. 93-02197 N.A.S.D. AWARD NATIONAL ASSOCIATION QF SECURITIES DEALERS. INC, In the matter of the Arbitration Between Name of Claimant(s) Joan Plassmeyer Name of Respondent(si Chatfield Dean & Co., Inc. Brent David Hurt REPRESENTATION For Claimant: H Thomas Fehn, Esq., Fields, Fehn & Sherwin, Los Angeles, California For Respondent Chatfield Dean & Co. Inc.: Christa D. Taylor, Esq., Chatfield Dean & Co., Inc., Green

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant David C. Hastings 94-01951 Name of Responuents Merrill Lynch Pierce Fenner & Smith Inc Jon M. Fletcher Therese K. Waigand Jim Svenstrup CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 25, 1994 Claimant David C. Hastings ("Claimant"), who appeared Pro Se, alleged that Responden

1^ N.A.S.D. AWARD ^^/_[.| iQ^M NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John M. Rodden, et al. Case No. 93-02192 Name of Respondents J.W. Charles Securities, Inc. Randall J. Hooper Dean L. Williams REPRESENTATION For Claimants, John M. Rodden ("Rodden") and Geraldine Marcia Salwen ("Salwen"): Russell L. Forkey, Esq. of Fort Lauderdale, Florida. For Respondents, J.W. Charl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gene K. Glasser, Sylvia Gusar & Evan Gusar 94-01879 Name of Respondents XEquity Assets Management Inc. Management Securities, Inc. W. Neal Jordan REPRESENTATION For Claimants, Gene K. Glasser, Sylvia Gusar and Evan Gusar ("Claimants"): Jane A. Sirak and James F. Nolan, Esq. of Jane Sirak & Associates, West Palm Beach, Florid

I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Premier Veal Inc. Pension & Profit Sharing Plan Premier Veal Inc. Money Purchase Plan Case # vs. 93-02157 N?»ne of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimants, Premier Veal Inc. Pension & Profit Sharing Plan and Premier Veal Inc. Money Purchase Plan ("Claimants"), Seth E. Lipner, Esq., from t

NASD Arbitration No. 94-01769 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s^ Ron Smith Name of Respondent's) Gilford Securities Inc., Elias Argyropoulos, and Ralph Worthington IV REPRESENTATION For Claimant: John Lawrence Allen, Esq. Carlsbad, Califomia For Respondents Gilford Securities, Inc. and Elias Argyropoulos: Timothy McGonigle, Esq. and Peter M. Kunst

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Name of Claimant NASD Arbitration Emilia Switgall No. 93-02011 Name of Respondents Toluca Pacific Securities REPRESENTATION For Claimant: Dennis Merenbach, Esq., and Leo Federman, Santa Barbara, Califomia For Respondents: H Thomas Fehn, Esq., Fields, Fehn & Sherwin, Los Angeles, Califomia CASE INFORMATTON Statement of Claim filed: May 19, 1993 Claiman

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-00495 Sam Bleck, claimant vs. Daniel Tuminia, Phillip Leo and Meyers Pollock bobbins, Inc. respondents. ATTORNEYS: For Claimant appeared Cherly Solotoff, Esq. - Great Neck, NY. Respondents Daniel Tuminia and Phillip Leo appeared Pro Se - Staten Island, NY. Respondent Meyers Pollock Robbins, Inc. did not appear. DATE FILED: 2/9/98 CASE SUMMARY: Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark Decosmo Names of Respondents Ultimate Services Securities Joel A. Kleinman © National Association of Securities Dealers, Inc. All Rights Reserved 94-01725 REPRESENTATION For Claimant Mark DeCosmo ("DeCosmo"): Bmce Pearson of Fargo, North Dakota for the initial hearing session on May 2, 1995 and DeCosmo appeared p

N.A.S.D. AWARD ! ^ NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC In the matter of the Arbitration Between Name of Claimant NASD Arbitration Shirley Rake, No. 93-01921 Individually and as Trustee of the Shirley Rake Trust Name of Respondents Shearson Lehman Brothers, Inc. Kathleen Valentine REfRESENTATXQN For Claimant: James R. Duncan, Esq. - Irvine, California For Respondents: Victor A. Machcinski, Jr., Esq. - Smith Bamey, Inc., New York, Ne