NATIONAL AS.SOCIATI0N O'^.FolCir;::riEr «E/vLERS In [he Matter of the Arbitration Between Prudential Securities Inc. 94-03601 Name of Respondent Louis D. Dworsky CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 6,1994, Claimant Prudential Securities Inc. ("PSI"), who appeared Pro Se, alleged that Respondent Louis D. Dworsky ("Dworsky"), a former employee of PSI, defaulted on his promissory note ("N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of ([;:i^imante Linda M. Almeida, Gloria M. Bailey, Raymond L. Ballon as Successor Trustee of the O.L. BaUou Living Trust Agreement dated December S, 1989, Susan Barret, Marc and Ruth Bergevin, Colonel Chester H. and Nell A. Dee, Richard C. Dei, David L. Firszt, Flagship Financial Corp., #94-03620 as Escrow Agent for Builders Supply, Richanl

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joe and Suzan Shrief 94-03598 Name of Respondent Josephthal Lyon & Ross, Inc. Hatem Ziad Rafii Paul T. Mannion REPRESENTATION Claimants, Joe Shrief and Suzan Shrief were represented at the hearing by John F. Beach, Esq. and Harry A. Swagart, III, Esq. of Swagart & Walker, PA., of Columbia, South Carolina. Respondents

N.A.S.D. AWARD NA-nONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs') Jack E. Delong 94-03595 Name of Respondentfs) Argent Securities Inc. Louis Phillips Reames REPRESENTATION For Claimant: John W. Ringo, Esq., Atlanta, Georgia. For Respondents: Timothy A. Baxter, Esq. of the law office of Johnson & Montgomery, Atlanta, Georgia. CASE INFORMATION Statement of Claim filed: September

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ftr 01-05134 Cecila Perez De Sada T?f*qpf)ri(tent H p flTTPg Site" Houston, Texas Goldman Sachs & Company n Claimant Cecila Perez De Sada, hereinafter referred to as "Claimant": Bill Christian, Esq., Graves, Dougherty, Hearon & Moody, P.C., located in Austin, Texas. Respondent Goldman Sachs & Company ("Goldman Sachs"); Joel Sharp, Esq., Jenkens & Gilchrist, locat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD In the matter of the Arbitration Between NameofClaimantrs) Marc A. Fisher Name of Respondent's) Josephthal Lyon & Ross, Inc. Scott Watkins NASD Arbitration No. 94^3597 RFPRF-SFNTATTON For Claimant: Douglas B. Martin, Jr., Esq. San Francisco, California For Respondems: Robert E. Murphy, Esq., Josephthal Lyon & Ross, Inc., New York, New York CASE INFORMATION Stateme

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) David P. & Kathy A. Steitz 94-03590 REPRESENTATION Claimants appeared pro se. Respondents were not represented. CASE INFORMATION Statement of Claim filed: September 1, 1994 Claimant's Submission Agreement signed on: August 31, 1994 The Respondent did not file an Answer or Submission Agreement and did not appear at the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITffiS DEALERS In tlie Matter of die Arbitration Between Name of Claimants Michael G. and Donna I. Wanschura; Donna I. Wanschura Custodian for Andrew Timothy Wanschura pursuant to Minnesota's Unifonn Gift to Minors Act; Michael G. Wanschura IRA; and Donna I. Wanschura IRA. 94-03576 Name of Respondents Dean Witter Reynolds, Inc. and Leonard G. Nauman Representation of Parties Claimants,.

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant T. Kevin Keough 94-03570 Name of Respondents D. Blech & Company David Abraham Blech REPRESENTATION For Claimant T. Kevin Keough ("Claimant") appeared Joseph Gaspeietti, Esq. of the law firm Berkovits & Gasperetti, LLC, New York, New York. For Respondents D. Blech & Company and David Abraham Blech (hereinafter collectively

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gibraltar Securities Co. 94-03561 Name of Respondent Patrick J. Vignone REPRESENTATION For Claimant Gibraltar Securities Co. ("Claimant") appeared Matthew Farley, Esq. of the law firm Shanley & Fisher located in New York, New York. Respondent Patrick J. Vignone ("Respondent") appeared Pro Se. CASE INFORMATION Statement of Claim filed: Septe