Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-05256 Steven R. Matzkin, D.D.S. SRM Children's Trust Names of the Respondents Hearing Site: Tampa, Florida Raymond James & Associates, Inc. Raymond James Credit Corporation Howard M. Sachs Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Steven R. Matzkin, D.D.S. ("Matzk

N.A.S.D. STIPULATED AWAKD NATIONAL ASSOCIATION OF SECURITIES DEALEBfl Ifl the Miner of tfw ArbitntiDo Between WMWftf^liiimnifti Pndemial-Biehe Securidei Lie. 93-03817 MclNmlSoie agffpawMTA.T10l^ For CUflMM, Pnukndil SeGiiiMee,,Ioe. fni"): Dnii J. MbCiffhy. B^. of PMdiailat Securidei Inc. In New YclriE, New Yoifc. Fbr Reipoadcnt. Rkliud Roee, mow"): Pio Se. of Otiin fliBd: Septembeir 21,1993. OaiiMM'i Submbiloa Affoeaeak iiined: Seplanlw

:;.A. = .3. .-yiARD .^lATMNAL ASSOCIATION OF SECJRITIES DEALERS :.-. -r,e Matter cr -".e Arci-ra-i-r. Beo^e^ Ekina Bergines ?0-00996 Ronald Tyler Judy and Robinson Securitiss rj< '^-^t>^-^;:iy,M4Vi-x Tlaimanr was represented bv Jane Katz Crist, Esa. "esiaondent was reoresentea irv lurtis Moms, Isa. This matter '-vas initiated by a Statement zt Zlaim zLLec .i-sr. zne •.'ationai Association -zt Securities Dea

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Pruco Securities Corporation and Prudential Insurance Company of America, Claimants v. Steven Bates, Respondent Steven Bates Counter-Claimant v. Pruco Securities Corporation and Prudential Insurance Company of America, Counter-Respondents ase Number: 01-05252 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Anthony Paduano, Esq. Gideon M

N.A.S.D. MtARD MKEICNKL ASSXUinCN OF SBUJRITIES Tieaxsofi ai the Ifatter of the Aibitraticaa BetiiooQ BEdziidfefaber, lac. 90-02651 Itaxk R. SveanevUc For dedmant: Brlgltta Slegel, Esq. Fbr Pflajpciraientt Msurk R. SvennevUc anpeared at tbe first bearing sessicn on Octoiser 24, 1991, but did not attend the heairdng oenducted en Jaauaxy 28, 1992. Statement of Claim filed en: SepteBlaer 20, 1990. AneodDBent to tbe Statement of dain filed on: S

MAS n AWARD NAllONAJ. ASSOCJATION OF SECURITIES DHALIiKS. INC In tlie Matter of tho Arbitraiion Between N'anu; of Clajmaing First of Michigan Corporation First of Micfiigan Leasing, Int:. First of Miciugan Capital Corporation and 9(MJ>Sg9 Kanic of Respondents Joseph G. McMillan J.W. Korrh & Company REPRESENTATION OF PAff TFES Claimants were represented by Clarence L. I'ozza. Jr.. Esq. of Miller Canfield Paddock & Stone, Detroit. Mich

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Morgan Keegan & Co., Inc. Claimant vs. Marc S. Rogovin Respondent CASE* 90-02235 Heard before: Catherine R. McClellan Robert Schaffer Fred R. Brown Industry Arbitrator Industry Arbitrator Industry Arbitrator CASE smniARY. In a claim filed with the National Association of Securities Dealers, Inc. on August 14, 1990 Claimant Morgan

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE «90-01841 AWARD In the Matter of the Arbitration Between Richard K. Singer Claimant vs. L.F. Rothschild & Company, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 28, 1990, Claimant Richard K. Singer alleged upon his arrival at L.F. Rothschild he was presented with a written contract that was significantly different f

^ancNAL Assodxnai OP SSCCRITIES DEMURS In tbe Matter of t±e Aibltratlaa Betsiem Stzevsi W. Skubl George 91-01840 and < T^'"^fw»''1 »^^'^*»^^ For daijoant: Steven W. Skubi, 5716-61st Avenue, KB, Seattle, W A 98105 ?br ReaponESeat: Gregory; N. SDlth, Esq., P.O. Bcoc 25449, Seattle, VA 98125 Stateimt of daia filed: JUne 13, 1391 daioant* a Sutalaslaa Agresmnt signed oni JUae 5, 1391 and Oauater-claim filed by Reepoadenta, en: Joi

N.A.S.D. MORD NAIICNAL ASSOdATION OP SHLUklTlBS DEALERS lb the Matter of tba Axbitraticn of daiaant (s) Lonnie Griffin of is) GrayataoB Nash, Sac, John Qiiabria and Gli V. Acksrly, Mb. 90-01721 For daiaant, Lonnie (Srittia. ("Griffin"): , Qraystcne Nsaih, Inc. ("< Fbr ("Ackarly"): For For L. Foodoey, Esq. ) and Tbamas V. Ackerly .t, Glflon Deeort ("Deaort"): t, John CSalabria ("Calabria"): pro Stateaan