95-02991 NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Leiand D. Moe and Mary Edith Moe and Name of Respondent Kemper Securities, Inc. Craig L. Carson REPRESENTATTON OF PARTIES Leiand D. Moe and Maiy Edith Moe ("Claimants") was represented by Steven MuUiken, Esq., Mulliken, Gleason & Wemer, P.C, Colorado Springs, Colorado and Paul G. Bursiek, Esq., Denver Colorado.

f^AS.P. AWARP- NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Larry B. Hill and Brenda J. ffltt individually and on behalf of the HiU Living Tmst, dated 6/29/89, Larry B. Hill, Brenda Hill, Dana Hill and Cheri Hill as JTWROS Name of Respondents Prudential Securities, Inc. REPRESENTATTON For Claimants: For Respondent: Leonard Steiner, Esq. Steiner & Libo Beverly IMs, Califo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitralion Between Name of Claimant Charles M. Kavitsky 95-02982 Name of Respondents Ted Athanassiades Robert J. Crimmins Harry Kamen Catherine A. Rein Metropolitan Life Insurance Company REPRESENTATION For Claimant Charles M. Kavitsky ("Claimant") appeared Jared B. Stamell. Esq. of the law firm of Stamell, Tabacco & Schager, LLP located in N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant J. Frank Walters 95-02981 Name of Respondents A.G. Edwards & Sons, Inc. Bura V. Lawson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 20, 1995, Claimant J. Frank Walters, who appeared Pro Se, alleged that Respondents A.G. Edwards & Sons, Inc. ("AGESI"), and Bura v. Lawson ("Law

FROM SCHICRGO RRBITRRTION 3122369233 1996,03-12 09:04 tt296 P.02/12 NASD AWARD NATTONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Aibitration Between Name of Claimant First of Michigan Coiporation and NASD Case Number; 95-02979 Name of Rsspondent Timoleon L. Nicholaou :ATI0N OF PARTCEiS Claimant First of Micliigan Corporation was represented by Midiael P. Coakley, Esq. of Miller, Canfield, Paddock & Stone located in Detro

N..\.S.D AWARD .NATIONAL ASSOCLVTION OF SECURITIES DEALERS In the Matter of the .Arbitration Between Name of Claimant Nancy Norris 95-02971 Name of Respondent Matthew L. Zimmerman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 19, 1995, Claimant Nancy Norris ("Claimant"), who appeared Pro Se, alleged that Respondent Matthew L. Zimmerman ("Respondent") made several unauthorized purchases in her a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles W. Mayer 95-02970 Name of Respondents Stratton Oakmont Inc. William J. Preston CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 19, 1995, Claimant Charles W. Mayer ("Claimant"), who appeared Pro Se, alleged that Respondents Stratton Oakmont, Inc. ("SOI") and William J. Pr

NASD Arbiti-ation No. 95-02929 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Leonard Randall v. Name of Respondents Prudential Securities, Inc., Gene Koftuk and Philip Kridier REPRESENTATION For Claimant: Paul G. Schifino, Esq. Califomia Investment Recovery Association Los Angeles, Califomia For Respondent Pmdential Securities: Martin Hunger, Esq. Pmden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tiie Matter of the Arbitration Between Names of Claimantc John H. and Jennie Jones 95-02854 Names of Respondents Robert Thomas Securities, Inc. and Michael S. Lower REPRESENT A TTrnvi it^JJintef ^^^^^^^^ -^^^ ^^P^^^-^ ^ Esq., Sole Practitioner, CriLwow°S^ o^trt Th "^^^^ ("Respondents") were represented by John N. uracmow, bsq. of Robert Thomas Secunties, Inc. located in St. Peter

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lawrence M. Grasso, Tmstee 95-02820 Name of Respondent A.S. Goldmen & Co.,Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 9, 1995, Claimant Lawrence M. Grasso, Trustee for the Lawrence M. Grasso Living Tmst ("Claimant"), who appeared Pro Se, alleged that Respondent A.S. Goldmen