I it i N A S D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark A Ross Name of Respondent Coastal Securities Ltd. 92-01455 ; REPRESENTATION For Claiinant: Mark A. Ross was represented by David A. Zdunkewicz, Esq. of Andrews Sc Kurth, L.L.P., located in Houston, Texas. For Respondent: Coastal Securities Ltd. was represented by J. Eugene Clements, Esq. and Rjtii i B.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard N. Steiskal 9501025 Name of Respondents S^ NalionaJ Association of Prudential Securities, Inc. Secunties Deaiers. inc. Carl N. Diana All Rights Reserv' REPRESENTATION Claimant Richard N. Steiskal ("claimant") appeared pro se. For respondent Carl N. Diana ("Diana") appeared Dennis J. Concilia, Esq., from the law fi

N.A S.D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter oi' the Arbitration Between ' ' Name of Claimantfs) Toluca Pacific Securities Corp. vs. 92-01421 Nanicp of Resf3pndenl( Clijnion A. Alexander qASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on April 24. 1992. Claimant Toluca Pacific Securities Corp.. through its Representative Peter BJowjiz. alleged tliut Respondent Clenion A. Alexand

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Estate of Gloria M. Costa, Arsenic J. Costa, Executor, Arsenio J. Costa, Joseph V. Costa, and Claire Healey (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 02-04580 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Estate of Gloria M. Costa (" The Estate"), Arsenio J. Costa ("A.

NASD AWARD NATIONAL ASSOCIATION OF SECUNTIES DEALERS In the Matter of the Arbitration Between Name of Claimants Desmond E. Shames, individually, and as Trustee of the DES Chiropractic Acupuncture Pain Control SLB Flex Prototype PS and MP PLN 92-01289 Name of Respondents Shearson Lehman Brothers, Inc.; David A. Pozniak REPRESENTATION For Claimant: Desmond E. Shamos, D.C. individually and as Trustee of the DES Chiropractic Acupuncture Pa

N.A.S.D. AWARD ^(oOH^'^^ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants 92-01247 Victoria B. Rahall as Trustee of the Victoria Rahall Family Trust Farris E. Rahall as Trustee of the Farris Rahall Family Trust Name of Restwndents Quick and Reilly, Inc. Name of Third Party Respondents Farris Rahall Jefferey Rahall REPRESENTATION For Claimant: Victoria B. Rahall, as Trustee fo

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, iNC, In the Matter of the Arbitration Between Shirley A. Snelling Claimant © National Association of Securitres Dtaters, fee. All Rights Reserved V. NASD Arbitration No. 95-0 1199 Anthony Purpero Smith Barney Shearson, Inc. Respondents TTON OF PARTIES Shirley A. Snelling ("Claimant") represented herself, pro se. Anthony Purpcro and Smith Barney Shearson, Inc. ("Responde

N.A.S.D. AWARD NATIONAL, ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Saporito 92-01235 Name of Respondent Royce Park Investments Rob Chester David DeWmd William Sheppard Don Speck David Newcomb LaJolla Capital Corporation ® National Association of Securities Dealers, Inc. All Rights Reserved REPRESENTATION For Claimant John Saporito ("Claimanf) appeared Donald Sum

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS 111 the Matter ot the Arbitration Between Name ot Claimant Dean Witter Reynolds Inc. ^2-00764 Name ot Respondent Doinmick D Paciolla REPRESENTATION For Claimant Dean Witter Reynolds. Inc. i Claimant "1: Mark Mancher. Esq. or ihe uiw finn or Jackson. Lewis. Schnitzler & Krupman. For Respondent Dominick D. Paciolla ("Respondent"V. Respondent appeared pro CASE INFORMATION Statement

r N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Philip R. and Rita L. Vander Ploeg 95-01447 Name of Respondents ^ Na^io-a] A^i-ociaiion of Sc^ uruics D^j.;er:\ inc. Sean Edward Kilmartin Efiram Tirado. Jr. All Rights Rc:scrvc:: CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 23, 1995 Claimants Philip Ross and Rita L.