N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George O. Quaye Award No. 94-02478 Name of Respondents Robert Todd Financial Corporation Joseph J. Lopresti Charles V. Malico REPRESENTATION For Claimant, George O. Quay ("Claimant"), appeared Keith Grovcr, Esq. from Ma|lilo & Grossman located in Flushing, NY. ' For Respondent, Charles V. Malico ("Malico"), appeared

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeffrey M. Bobier 94-02461 Name of Respondents The Ohio Company Walter Chambers CASE SUMMARY In a claim fded with the National Associatkm of Securities Dealers, Inc. on June 27, 1994, Clainumt Jeffrey Bobier, who appeared Pro Se, alleged that Respondents The Ohio Company and Walter Chambers failed to execute a trade. Tbe Claimant further alleged

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEAI.ERS In the Matter of the Arbitration Between Willard D. McDowell 94-02460 Name of Respondents A.G. Edwards & Sons, Inc. Jay Shea CASE SVMM^Y In a claim filed with the National Association of Securities Dealers, Inc. on June 27, 1994, Claimant Willard C. McDowell, through his representative Michael W. Pursley, Arbitration Research Consultants, Safety Harbor, FL, alleged that Respondents A.

N.A.S.D. AWARD VATIQNAI. ASSOCIATION OF SECURITIRS DFALFRS. INC. In the matter of the Arbitration Between NamcgfCflaimantfe) William H. Arbogasc v. Namii «f R^pntiA»nt(^< ) Olde Discount Corporation NASD Arbitration No. 94-02459 For Claimant: For Respondent: REPRESENTATION Newland C. Shepard, Palo Alto, California Karen Brink, Olde Discount Corporation, Detroit, Michigan CASF. INFORMATION Statement of Claim filed

N.A.S.D. AWARD NATTONAT. ASSnCTATTON OF SECURITTKS DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Roland Osbold v. NASD Arbitration No. 94-02455 NamcpfRfispondcnts Bruce Eisen and Dean Witter Reynolds, Inc. REPRESENTATION For Claimant: Geoffrey D. Commons, Esq. Law Offices of Commons & Leary Pasadena, California For Respondents: Curt H. Mueller, Esq. Dean Witter Reynolds, IIK. San Francisco, Californi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between NamenfClaimantfs^ A.B. CuLbertson and Company, Inc. 94-02454 NameofResDondentrs^ John Wanen Norman, Jr. REPRESENTATION For Claimant: B. Frank Cain, Esq. of the law finn of Bowers and Cain. For Respondent: David H. Jones, Esq. of the law finn of McDonnell Dyer. CASE INFORMATION Statement of Claim filed on: June 27, 1994. Claimant's Submi

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Yaeger Securities, Claitnant, V. NASD No. 94-02277 Robert Todd Financial Corporation, Robert B. Fallah, Albert A. Parisi and Stephen J. Patterson, Respondents. Albert A. Parisi and Stephen J. Patterson, Counterclainiants, V, Yaeger Securities, Inc. and Norma Yaeger, Counterrespondents. Representation For Claimant and Counterrespo

N.A.S.D. AWARD NATir^NAL ASSOCIATION OF SECURITIES DEALEps Prudcniial Securities Incorporated. Claimant. V. JelTrcy Kosenben;, Jeffrey Roscnberi;, Respondent. Claimant, V. No. 94-02450 Con»lidatcd with NOL 94-02506 Pnideniial Securities Incorporated. Respondent. REPRESENTATION OF PARTIES JefTrey Rosenberg ("Rosenberg") was represented by Seymour S. Rosenberg. Esq., Memphis. Tennessee. Prudential Securities Incorporate

NASD Dispute Resolution, Inc. In the Matter of Arbitration Between ERNEST SIMIELE, Claimant, ) ) NASD Case No. 01-05720 v. ) MORGAN STANLEY DW INC., ) ALEX SIMON and CHARLES ALBANESE, ) Respondents. ) STIPULATION AND AWARD IT IS HEREBY AGREED between Claimant Ernest Simiele and Respondents Morgan Stanley DW Inc., Alex Simon and Charles Albanese that all references to NASD Case No, 01-05720 shall be expunged from the registration records

H.A.S.D. AWARD NATIONAL ASSOCIATION OF 8ECDRITIES DEALERS In the Hatter of the Arbitration Between Name of Claimant David J. Cross 94-02440 Dean Witter Reynolds Inc. Mitchell James Oniar Claimant David J. Cross ("Claimant") was represented at the hearing by John Lawrence Allen, of the law offices of John Lawrence Allen, Carlsbad, CA. Respondents Dean Witter Reynolds Inc. ("DWR") and Mitchell James Omar ("Omar") were represented at the he