NATIONAL ASSOCIATION OF SECmUTIES DEALERS, INC. AWARD In the matter of the ArbitK^don Between NameofCk;mant(sl Joseph Starr NASD Arbitration V. No. 94^2969 Name of Respondentfs^ Amerinarional Financial Service, Inc. National Financial Services Corp. Peter Provence John Duckfield Jerome Schneider Albert Laubeostein James Levit Lisa Baker REPRESENTATION For Claimant: Richard Sacks, Investors Recovery Service, No

NASD AWARD NAITONAL ASSOCIATK»< I OF SECURITIES DEALERS, INC. In the Matter of the Aibitrition Between Name of Claimant LoriLeaToren and 94-02962 FiiiikUn-Lord, Inc. REPHESEWTATION OF PARTIES Lori Lea Toren ("dnimvit") was represented by Jeflfrey J. Scott, Esq., Krys, Boyle Golz Reich Freedman Bean ft Scott, Deiwer, Cdorado. Franklin-Loid, Inc. CVcfpondcat") was represented by H. Thomas Fdm, Esq., Hdds^ Fefan A Sheiwin, Los Alleles, Californi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitiation Between Delfma Monies 94-02960 Name of Resnondent Shearson Lehman Hutton, Inc. For Claimant, Delfina Monies ("Montes"): Jeffrey B. Crockett, Esq. of Aragon. Martin, Burlington A Crockett, Miami, IHorida. For Respondent, Shearson Lehman Hutton, Inc. ("Shearson"): Rick Apicella, Esq., of Smith Barney, Inc., New York, New York. CASE INFORMATION Statem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURIHES DEALERS In ttie Matter of tbe Artntration Between Name of Claimant Etonald A. WUlemstyn 94-02^52 t^ame of Respondents Keith CofTm Corporate Securities Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 28, 1994, Claimant Ronald A. WUlemstyn, who appeared Pro Se, alleged that Respondents Keith Cof&i ("Coffm") and Corporate Sec

N\SnKiX;i!l.\ll()N. INC VWAKI) OFFKK OF DISPlTi: RtSOM Tl()\ in ihL- M.IIILT I'I' IIK- ArhiluliiMi liclwcL-n Mariidrci H Ki;sh *>4 O.^U.'-J Namj^ of RL's^^niKlcniN K:Jd(.T. I*c;ihcn]y * & Co.. IiKnrporait^il Kkldcr Pculii)d\ Cirmip. liK-. RKPRR.SENTAi ION - INTKRIM Iiir C'ljii:i;im Muii-.trci B. Rush (•"Claini.iiir') appcarai MKhatl Rubin. I!M| . .if the Finn HolIiMiifr A ONiri'Vvsk>. I.I.e. liioucd iii I.ivtnt"ii< )[i. Ntrw Jciscy.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between Channing Schwartz, Claimant, and No. 94-03066 Hdwaid D. Jones A Co.. Respondent. REPRESENTATION OF PARTIES Channing Schwartz ("Claimant") was represemed by Mark A. Stitcs, Esq., of Stin.son. Mag A FizzeU, Kansas City, Missouri. Edward D. Jones & Co. ("Respondent") was represented by Lawrence R. Goldberg, Esq., St. Louis, Missouri. CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Dierdre J. Hoover, Claimant, vs. Case » 94-3059 Barington Capital Group, L.P., Respondem. REPRESENTATION For Claimant, Dierdre J. Hoover. Paul Warkow, Esq., Bellmore, N.Y. For Respondent, Barington Capital Group, CUffoid Thau, Esq., of the fum Squadron, EUenoff. Plesent, Sheinfeld A Soikin. New Yoric, N.Y. CASE INFORMATION Statement of Clai

N.A.S.D. AWARP NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Steven A Nora Steigerwalt 94-02979 L.C. Wegard A Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc, on July 29, 1994, Claimants, Steven C. and Nora A. Steigerwalt, who appeared Pro Se, alleged the Respondent. L.C. Wegard and Co., Inc. made misrepresentations and sold them unsuitable securities. Claiman

N.AS.D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ofthe Arbitration Between lN^n]fi,Qf£l2iinaQl Betty P. Pence, individually and as Executrix ofthe Estate of Starling Pence 94-02978 ^mg„pf,£espizadeiii Prudential Securities, Inc. In a daim filed with the National Association of Securities Dealers, Inc. on July 13, 1994, Claimant Betty P. Pence ("Claimant"), through counsel Walter V. Hinea, Esq. of Springfield, Ohio, stated th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Imcgrated Applicatioiu; Engineering, Inc. 94-02977 Merrill Lynch, Pierce, Fenner A Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 28. 1994, Claimant Integrated Applications Engineering, Inc., through their representative, David Howe, alleged that Respondent Merrill Lynch,