N.A.S.D. i^NARD NMTOIAL ASSOCIATICN OF SECURmES DEALERS In t±ia Matter of the Arbitxation Between Naane of Claimant Leonard Azmstrong 91-03029 Name of Respcndgnts Shearson Lehman Brothers, Inc. Gary Selecky 0[2 WIM Arbitration National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212^ 858-4389 sEPBESEtnxnax For Claimant: For Respandant:s: The Cla

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant Gilmore Securities & Co. CASS #91-02911 consolidated with #92-00424 Name af Respondents Kacherine E. Gotch Holmer Gronager REPRESEOTATIQN For Claimant Gilmore Securities & Co. : Avr< xn Gold, Esq. of Mandelbaum, Salsburg, Gold, Lazris, Discenza & Steinberg. Respondents Holmer Gronager and Catherine E. Gotch appeared Pro Se. CA.< 5E INFORMATION

4- N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Kinuye Muraki/ Kinuye Muraki & Joyce Makishima CONSOLIDATED AWARD vs. NASD #91-02665 NASD #91-02666 Name of Respondent Sutro and Company, Inc. REPRESENTATION For GaiinaTLs: Jefirey M. Jones, Esq., Law CFRnp of Archibald M. Mull, HI, Sacramento, California For Respondents: Gerald W. Palmer, Esq., and Daniel

NASD REGULATION. INC AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Harry J. Tyson Name of Respondent Smith Barney Shearson, Inc. 95-05770 REPRESENTATION For Claimant Harry J. Tyson ("Claimant") appeared Leslie D. Corwin, Esq., of the law firm Morrison Cohen Singer & Weinstein, LLP located in New York, New York. For Respondent Smith Barney Shearson, Inc. ("Respondent") appeared Ellen Slipp, Esq., A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant M. A. Hendrickson TTEE/M . A. Hendrickson Trust 9505769 Name of Resnondents Lynch, Pierce, Fenner & Smith, Inc. Thomas C. Prentice ^ National Association of Securities Dealers, Inc. All Rights Reserved CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 8, 1995, Claimant

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Lawrence Gregg and Judith Gregg v. 02-04541 Minneapolis, Minnesota Respondents LaSalle Street Securities, Inc. and Steven L. Plocher REPRESENTATION OF PARTIES Lawrence Gregg and Judith Gregg ("Claimants") were represented by Eric J. Peck, Esq., of Lindquist & Vennurn, P.L.L.P., Minneapolis, Minnesota. LaSalle Street Securities, Inc. ("LaSalle Street Securiti

n N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ® National Assocjauon In the Matter of the Arbitration Between Securiues Dealers, Inc. Name of Claimant(s) Rights Reserved Virginia Chrisco 9505708 Name of ResDondentfs) Olde Discount Corporation CASESUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 5, 1995, Claimant Virginia Chrisco, who appeared Pro Se, alleged that Respondent Olde Di

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mabel S. Norton 95-05732 Name of Resnondents Dean Witter Reynolds Inc. ->Nations Securities John T. McCabe ^ National Association cd Securities Dealers, Inc* All Rights Reserved CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 27, 1995, Claimant Mabel S. Norton, w

N.A.S.D. AWARD NATI ONAL ASSOCI ATI ON OF SECURI Tl ES DEALERS In the Matter of the Arbitration Between &me of Claimant Robert W. Ericksen 95-05729 Name of Respondents Paul Palmer Leonard Nelson 's'^!-'"" Rocky L. Am BA Investment Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 6, 1995, Claimant Robert W. Ericksen ("Claimant"), who appeared Pro Se, alleged that Responde

r I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) John W. Gormley 95-05685 Name f ResDondent(s) © National Association Q\ Securities Dealers, Inc. All Rights Reserved Prudential Securities, Inc. Matthew H. McCloskey, IV CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 5, 1995 Claimant John W. Gorrnley, who