NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of die Arbitration Between Bernard Tarapchak and Yvonne M. Tarapchak. Claunants, V. NASD No. 94-02729 Dean Witter Reynolds, Inc. and Victor Rios, Respondents. Representathn For Claimants: Pro se, Huntington Beach, Califomia For Respondents: Wendy Robinson, Esq., of Dean Witter Reynolds, Inc. (DWR), San Francisco, California Case Information Statement of Claim filed: July

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Stevens & Company, (Claimant) vs. Richard Braha and Mark Benun, (Respondents) Case Number: 01-05739 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Joseph Stevens & Company, hereinafter referred to as "Claimant": James E. Siegel, Esq., General Counsel, Joseph Stevens & Company, New York, NY. Previously represented by David W. Schmidt, Esq., Lubiner & Schmi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas E. Hering, Claimant v. Bidwell & Company, Respondent Case Number: 00-01422 Hearing Site: Portland, OR REPRESENTATION OF PARTIES For Claimant: Cecil B. Strange, Esq. 222 SW Columbia Street 1200 KOIN Center Portland, OR 97201 For Respondent: Kevin Peck Bidweil & Company 209 SW Oak Street Portland, OR 97204 CASE INFORMATION Statement of Claim fi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS lo the Matter of the Arbitration Between Fifth Third Securities, Inc. 94-02728 NameofRfisnondents John T. Bostick Erin Houlihan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 14, 1994, Claimant Fifth Third Securities, through its representative, Fred L. Dariington, Esq., allied that Respondents John T. Bostick ("Bostick") and Erin Hou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between Name of Claimant Prudential Securities Inc Case No. vs. 94-02721 Name of Respondent Alan R. Levin REPRESENTATION For Claimant Prudential Securities, Inc., ("PSI") appeared Gary Klein of PSI located in New York City. Respondent Alan R. Levin ("Levin'') appeared pro se. CASE INFORMATION Statement of Claim filed on: July 13, 1994. Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In the Matter of the Aibitration Between MaiftegfClaimqfl^s Barbara J. St. Geoige Carmen St. Geoige 94-02717 Name of Respondents Jeflery Ward Jones Michael Murphy A.T. Brod & Co., Inc. REPRESEMTATION For Claimants appeared Timothy J. O'Connor, Esq., Ainswoith, Sullivan, Tracy, Knauf, Warner and Ruslander, P.C, Albany, New Yoik. Respondent Jeffeiy Ward Jones appeared pro se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI.ERS In the Maner of the Arbitration Between Name of Claimants Maude and Robin M. Robertson 94-02716 Name of Respondents Investment Management & Research Inc. Jeff Hill CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 14. 1994, Claimants Maude and Robin M. Robertson, through dieir representative, Barbara Karen Houck, located in Mercer Isl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Mary Martui Clememe, Chdnumt, Case No. vs. 94-02715 Smith Barney Shearson, Inc., Respondent. REPRESENTATION For Claimam, Mary Martin Clememe CClaimant"), Judith P. Vladcck, Esq. and Anne L. Clark, Esq. from the law firm of Vladeck, Waldman, Ellas and Engelhard, P.C, New York, New York. For Respondem, Smith Barney Shearson, Inc. ("Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael F. Darrah 94-02712 Name of Respondent John Leo CASE SUMMARY In a claim filed with the National Assoication of Securities Deaiera, Inc. on October 19, 1994, Claimant Michael F. Darrah, who appeared Pro Se, alleged the Respondem, John Leo omitted material information concerning securities he purchased through Reqx)ndent.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between NameofClaimantfs^ David V. Taddei 94-02707 NameofResoondentfs^ Thomas James Associates, Inc. Ed Signora CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 7, 1994, Claimant Davul V. Taddei, who appeared pro se, alleged that Respondents Thomas James Associates, Inc. and Ed Signora failed to disclo