N.A.S.D. AWARD MATTQWAL ASgOCTATIOM OF SECTTRITTES PgM.ERS Yee, Desmond, Schroeder & Allen, Inc., Claimant, V. No. 94-01493 Robert Lee Friou, Respondent RBPRBagMTATTtMfl QP PARTTHS Claitnant Yee, Desmond. Schroeder & Allen, Inc. ("Claimant") was represented by James Allen of Yee, Oesitratid, Schroeder & Allen, Inc., Scottsdale, Arizona. Respondent Robert Lee Priou failed to appear at the hearing. CAflg IKFQHMATTQW Claimant's Statente

N.A.S.D. REGULATION AWARD NATION.AL ASSOCIATION OF SKCURITrF-S DEALERS REGULATION, INC. In the Matter of the Arbitration Between Nanic of Claimant Peter G. Wade Name of Re-soondcnt Prudential Securities, Inc. 95-02324 REPRESENTATION Claimant Peter G. Wade ("Claimant") was represented by Jeffrey Liddle. Esq.. Liddle &. Robinson, New York, NY. Respondent Prudential Securities, Inc. ("Respondent") wa.s represented by Thomas J. Kavalcr, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant First Albany Corporation 95-02425 Jeffrey Schneider REPRESENTATION For Oaunant appeared Arthur F. Dicker, Esq. of the Arm Harvey and Harvey, Harv^ &. Mumfoid. The Respondent appeared Pro Se. CASE INTOBMATION Hie Statement of Claim was filed on May 22, 1995. Claimant's Submission Agreement was signed on April 18. 1995. R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nameofqaimam Marshall Baron Case No. vs 94-01490 Name of Respondent ^ Gary Lewis Donahue Beacon Securities, Inc. For Qaimant, Marshall Baton ("Baxon"), appeared John E. Lawlor, Esq. For Respondents, Beacon Securities Inc.. ("Beacon") and Gary Lewis Donahue ("Donahue"), appeared Leon B. Lipkin, Esq. of Loselle Greenawait Kaplan Blair. g

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Arnold M. Burtney 94^1334 NameofResnondentfs^ Ronald D. Catto Westmark Securities Corp. CASE SUMMARY In a claim fded with the National Association of Securities Dealers, Inc. on April 8, 1994, Claimant AmoM M. Burtney, who appeared Pro Se, alleged that Respondents Ronald Catto ("Catto") and Westmark Securities Coiporation ("Westmark") were negl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names rvFthe Claimants flase Number 01-05694 YolandaH. Caraway The Caraway Group, Inc. Names r>f the Respondents Hearing Site- Washington, D.C. Merrill Lynch, Pierce, Fenner & Smith, Inc. Lance W. Slaughter Deepak D. Raj Henry M. Blodget Virginia Syer Genereux McCallum REPRESENTATION OF PARTIES Claimants Yoianda H. Caraway ("Caraway") and The Caraway G

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Norman Stamm and 94-01300 Cohig & Associates, Inc. and Kober Financial Corporation In a claim filed with the National Assodation of Securities Dealers, Inc. on or about April 4.1994, Ciaimam, Norman Stamm ("Stamm") alleged that the Respondents, Cohig & Associates ("Cohig") and Kober Financial Coiporation ("Kober") made misrepresentations concerning B

N.A.S.D. AWARD NATIONAL .VSSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Bem^een iimams Martha and Andy Zuckerman JTTEN 94-01139 Name uf Respondents C-WINS Investment Group Edward Vincent Rappa CASE SUMMARY In ;i claim ;iled v/ixh ihs. Mst'onai /. sociation of Securities Dealers. Inc. on Marcft 2-:. 'J'y-l:. -Iair.v.:..::- M'.^ "M: ui Awiy Z:..Herman -.vhoy-ippMrtl Pro Se, iil-.-gsd ths;. :hey piir/ha.^^^a ::!:::T>

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between Nam^ ij^f r^imain John S. Hwang 94-01052 Name of Respondent Smith Barney Sheaison, Inc. n/k/a Smith Barney, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 18, 1994, Claimant John S. Hwang, who appeared Pro Se, alleged that Respondent Smith Barney Shearson, Inc. soU his Sage Technologies

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles G. Lauderdale 94-0099! NameofResnondentfs^ Scott Mark Cooper Thomas James Associates, Inc. Douglas Wayne Kirk CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 15, 1995, Claimant Charles G. Lauderdale, who appeared Pro Se, alleged that Respondents Thomas James Assoc