AMENUBD AWARD NASD BBGULATIDN, INC. Inibe Mutar of tha AiUnmiai Bonraoi TtereaL. Bndtey 94^)4479 Den Winor Sqraoldi, IDC. MiiuR* ScboctOM David K.Ev«Ka ForCliiaim: Jobft W. Cipon, Eiq.» him Beacb Gnkn, Hoilda. Far IlBipoadaiitt Dna WiwRqnoldi, k. ("ISWR") indMiieR. SdwBin^ Ann TeoBUK Goooiy, £iq.; of Sttd Bseior ft Divii IIP. West Mm Beadi. Fkirida. FdrReipaaileaiDt?idX.EfiiiiiMii(19vuiai*): MiicMaik. Esq.. FoitljudndaiB, Florida. SuMMoi

AWARD WASP BBGmATIOM. IMC. QPPICB OP DISPOTE RSSOLTTTIQW In the matter of the Arbitration Between Name of riaimant Lg) William D. Weller, Sr. Arbitration No. 94-04475 Name of Reapondenttsi Smith Bamey Shearson Inc., fdba Shearson Lehman Hutton Inc., fdba E.F. Hutton REPBBSEKTATIQlir For Claimant: Keith E. Galliher, Jr., Esq., Las Vegas, Nevada For Respondent: Helen L. Duncan, Esq. and Jared M. Katz, Esq., LeBoeuf, Lamb, Greene & MacR

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbiuration Between Name of Claimam Prudential Securities, Incoiporated and 94-04468 NamgpfRgspondcm Menell H. Jonlan, III REPRESENTATION OF PARTIES Prudential Securities, Incorporated ("Claimanr) was represented by Patricia A. Fitzpaoick, Esq., Prudential Securities, Inc., New Yoik, New York. Menell H. Jordan, III ("Respondent") appeared/vv5«. CASE INTORMAT

N.A.i) -J. AW^^JID NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of Arbitration B^ween Name of Claimant McLaughlin, Piven, Vogel Securities, Inc., 94-04467 Name of Respondent Oppenheimer & Co., Inc. For Claimant: Michael J. Fortumuo, Esq., of the law frnn Rubin and Associates, Paoli, PA For Respondent: Lloyd S. Clareman, Esq., New York, NY. Statement of Claim filed: October 26, 1994. Claimant's Submission Agreement signed on: O

N.A.S.D. AWARD NATIONAL ASSOCL\TION OF SECLIUTIES DEALERS Fn die Matter of the Arbitration Between Name of Claimanifs) James D. Parks 94-04463 Name of Respondentfs) Josephthal Lyon & Ross Inc. Dan I. McCalt For Claimant James D. Parks: Frank W. Virgin, Esq. of die law firm of Slaughter & Virgin,P.C. Adanta, Georgia. For Respondents Josephdial Lyon & Ross Inc. ("Josephdial") and Dan J. McCail ("McCall"): Robert E. Murphy, Esq. in-house cp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ted Rea, M.D. v. Charles Schwab & Co., Inc. Case Number: 01-05087 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES For Claimant: David A. Sibley, Esq. Law Office of David A. Sibley Corpus Christi, Texas For Respondent: Mauricio S. Beuglemans Charles Schwab & Co., Inc. San Francisco, California CASE INFORMATION Statement of Claim filed: September 27,20

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant Stephmi T. Fagiano 94-04462 Name of Respondents Your Discount Broter, Inc. Dean Witter Reynokis, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 26,1994, Claimam Stqihen T. Fagiano, who appealed Pro Se, alleged that Respondems Dean Witter Reynolds, Inc. ("DWR") and You

NASD. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nasser Mostafavifar 94-04461 NamggfRggpondgnts Olde Discount Corporation David L. DiFiore Mary Ann SchafFer CASE SVMMARY In a ciaini filed with the National Association of Securities Dealers, Inc. on October 24, 1994, Claimant, Nasser Mostafavifar, who appeared Pro Se, aUeged that on April 15, 1994 he attempted to place an order to sell 1,939 s

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mauer of the Arbitration Between Name of Claimant Gary W. Swanson 94-04460 Name of Respondent Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 24,1994, Qaimant, Gary W. Swanson ("Claimant"), who appeared Pro Se, alleged that Respondent, Pnidential Securities, Inc. ("Prudential"), imprudendy invested h

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantrs) Prudential Securities Inc 94-04459 Name of Resnondentfs) Dominick Schina CASE SUMMARY In a claim fded with the National Association of Securities Dealers, Inc. on CXtober 24, 1994, Claimam Pnidential Securities, Inc., through its in-house counsel, Christopher Freeze, alleged that Respondent Dominick Schina faded to make paym