NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between Name of Claimant Thomas A. Hanson and 94-03401 Name of Respondent Prudential Securities, Inc. Todd Belfiore Ira Federer REPRESENTATION OF PARTIES Thomas A. Hanson ("Claimant") was represented by Robert B. Ramirez, Esq., Glenview, Illinois. Prudential Securities, Inc. ("Respondent Prudential"), Todd Belfiore ("Respondent Belfiore") and

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between Joseph C. Sabb. Jr.. Thomas S. Linehan. C. Thomas Pearson. Wyma Pearson, W S Atherton and Charles L. Gaines and NASD Case Number 94-3051 Pnidential Securities. Incorporated REPRESENTATION OF PARTIES Claimants, Joseph C. Sabb, Jr., Thomas S. Linehan, C. Thomas Pearson, Wyma Pearson, W.S. Atherton and Charles Gaines were represented by Mark W. Nicho

NA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITTFii nEAI.ERS Mary Lou Greer, Claimant, v. No. 94-03482 Boettcher &. Company, n/k/a Kemper Securities, Inc., and Joseph S. Ballentyne, Respondents. REPRESENTATION OF PARTIES Claimant Mary Lou Greer ("Claimant") was represented by Ardner R. Cheshire, Jr., Esq., of McEvoy, Daniels & Cheshire, P.C, Tucson, Arizona. Respondents Boettcher & Company, n/k/a Kemper Securities, Inc. ("Kemper"), and Jos

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard M. Hammer and Case Number: 01-05109 Hearing Site: Troy, Michigan Name of Respondent First Union Securities Financial Network REPRESENTATION OF PARTIES Richard M. Hammer, hereinafter referred to as "Claimant" or "Hammer" acted pro se. Claimant previously was represented by Paul N. Young, C.E.O., Securities Arbitration Group, Inc., Los Angeles C

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between JimNordhaus and 94-03478 Dean Witter Reynolds. Inc. and Victor V. Qelsen REPRESENTATION OF PARTIES Claimant, Jim Nordhaus was represented by William S. Shepherd, Esq. of William S. Shepherd & Associates, PA. located in Houston, TX. Respondents, Dean Witter Reynolds, Inc. and Victor V. Oelsen were represented by Curt H. Mueller, Esq. of Dean Wi

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between Name of Claimant The Guardianship of Duane Gravitt and NASD Case Number 94-03472 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc., Timothy S. Patterson, Drew Williamson, Brett Bernard, Bruce Tallon REPRESENTATION OF PARTIES Claimant, The Guardianship of Duane Gravitt was represented by Jan P. Garvin, Esq. of The Garvin

Award NASD Regulation, Inc. In the Matter ofthe Arbitration Between: Constance R. Sisler, Zita Pena, and Henry 1. Bushkin, Claimants v. American National Securities, Inc. (a.k.a. Amerinational Financial Services) and Jerome Schneider, Respondents. Case Number: 94-03470 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondents: Allison R. Hart, Esq. Barob, Klein & Coat, LLP Beverly Hills, California

AWARD NA.Sn RPr,llT.ATIQN. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Namenfnftimant/.s^ Carl C. Roba V. ArbitTdiion No. 94-03461 Name of Respondtsnlfs^ Prudential Sccuritie.s, Inc. REPRESENTATION For Claimant: Carl Roba, Los Angeles, California IMx Re^ondent: Robert H. Logan, Esq. and Stacey M. Ganett, Baq.. Kcesal, Young & Logan, Jx>ng Beach, California CASE INFORMATION Statement of Claim filed

N.A.S.n. AWARD WATinNAi AR< 8nrTATfnN OF .SFCiramPj; nPAi FPS Tier In the matter of the Arbitration Between TJamAofriaimants The Segall Family Trust; Zelda SegaU and Emannel Segall, Individaally and as Tmstees of the Segall Family Trust Financial Goal Securities, Inc.; Joel E. Kocen and Jo Ann Kocen NASD Aibitration No. 94^3452 For Clainumts: For Respondent: BRPRRSFNTATinK Michael D. Donahue, Esq. Donabue, Meseteau & Wells Los Ang

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ofthe Arbitration Between Name of Claimants Howard Garland and Mary Garland Mary Sandra Freedman-Garland Case No. 94-03448 Name of Respondents Bear Stearns & Company Josephthal Lyon & Ross Inc. Peter George Ruggiere REPRESENTATION For Claimants Howard Garland and Sandra Garland appeared Betsy McCall, Esq. of the law firm of Glass, McCullough, Sherrill & Harro