NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbititition Between Name of Claimants Deborah L. Maiocco and P. Donald Maiocco No. 94-04396 Name of Respondents Michael George, Daniel Martin Michael McKeown and Greenway Capital Corp. REPRESENTATION Claimants Deborah L. Maiocco and P. Donald Maiocco (Claimants) were represented by Stanley R. Wolfe, Esquire & Stuart J. Guber, Esquire, of the law

NASD Arbitration No. 94-04385 N.A.S.Pt AWARD NATIONAL ASSQCIATIQN OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants (a> Fred W. Hoeke Name of Respondent: fa) Robert s. Semple RBPBBSgMTATTOM For Claimant: Scott R. Shevian, Esq., Thomas, Snell^ Jamison, Russell And Asperger, Fresno, California For'Respondent: Tirmothy M. Ames, Esq., Palo Alto, California CABS anrPRMATIQW statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 94-04381 Name of Resixindent Ronald H. Cohen CASE SUMMARY In a claun filed with the National Association of Securities Dealers, Inc. on October 21, 1994, Claimant, Prudential Securities, Inc. through its representative, Patricia Osbini, Esq., its in- house counsel, alleged that Respondent Ronald H. C

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Gary A. & Gay L. Beatty HyoSukPark J. Cooke Fisher and 94-04378 Name of Respondent Schneider Securities, Inc. Robert E. Gibbs Song II Hicks REPRESENTATION OF PARTIES Gary A. & Gay L. Beatty, Hyo Suk Paik, J. Cooke Fisher ("Claimants") were represented by Jefi&ey J. Colerick, Esq., Colorado Springs, Colorado. S

N.A.S.D. AWARD MATIOHAL ASSOCIATION OF SBCDRITIE8 DEALERS In the Matter of the Arbitration Between ^ame of Claimants Dorothea and John Mackenzie 94-04374 Name of Respondents PaineWebber, Inc. Correspondent Services Corporation Estate of Stephen J. Schappell Lawrence G. Stevens Mercer Securities. LTD REPRE8EIITATI0N Claimants Dorothea and John Mackenzie ("Claimants") were represented by Steven M. Dranoff, Esq. of the law firm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Napie9fgainiaB^(y) Lew Lieberbaum & Co., Inc. 94-04372 NaiPf9fR«wntffiffft) Clenton A. Alexander CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Octobw 20, 1994, Claimam Lew Lieberbaum & Co., Inc., through its representative, Stuart Kingoff, Esq., of Gardm Ci^, New York idl^ed that Respondent Genton A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between N;^in^ nf Claim^n^jf Irwin Sternberg vs. 94-04371 Name of Resixindent PaineWebber, Inc. In a claim flled with the National Association of Securities Dealers, Inc. on October 20,1994, Claimant Irwin Sternberg, who appeared Pro Se, allied that Respondent PaineWebber, Inc. unreasonably delayed the transfer of his Mutual Funds. Claimant further all

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Naine of Claimant Robert H. Hume, Jr. 94-04369 Name of Respondents Shearson Lehman Brothers, Inc. n/k/a Lehman Brothers Robert J. Fernandez CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 20, 1994, Claimant Robert H. Hume, Jr., who appeared Pro Se, alleged that Respondents Shearson Lehman B

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Susan Graff Mills V. 01-05071 Minneapolis, Minnesota Respondents RJ Steichen & Company, n/k/a Miller Johnson Steichen Kinnard, Inc. and Bruce D. Reichert REPRESENTATION OF PARTIES Susan Graff Mills ("Claimant") was represented by Kevin D. Hoffman, Esq., Halleland, Lewis, Nilan, Sipkins & Johnson, Minneapolis, Minnesota. RJ Steichen & Company, n/k/a Miller

NASD Arbitration No.94-04368 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SKCTTRrrffiS DKALERS. INC. In the matter of tiie Arbitration Between Namcfifriainiam Richard A. Wongkew Florence Windfall Name Of Respondent Fidelity Brokerage Services, Inc. REPREiSENTATION For Claiinants: Claimants represented themselves For Respondent: Bruce W. Beldii^, Esq., Graham & James, San Francisco, Califonua CASE INFORMATION Suitement of Claim filed: O