N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel Evan Urbach 94-03947 Name of Respondents Douglas J. Mangan Camelot Investment Corp. CASE SUMMARY In a claim fded with the National Association of Securities Dealers, Inc. on September 27,1994, Claimant Daniel Evan. Uibach, who appeared Pro Se, alleged that Respondents Camelot Investment Corp. ("Camelot") and Douglas J

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Anita Marie Gilleo Name of Respondent La Jolla Securities Corp., La Jolla Securities Inc., American Aegis Securities, Inc., Del Mar Securities, Inc., and Terrcnce J. Hughes Arbitration No. 94-03944 REPRESENTATION For Claimant: For Respondents La Jolla Securities Corp. and La Jolla Securities Inc.: Steve A. Buchwalter. Esq. Law Offices of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFALFRS Sheryl L. Craig, Claimant, V. No. 94-03943 Sean Waltz, and Olde Discount Corporation, Respondents. REPRESENTATION OF PARTIES" Claimant Sheryl L. Craig ("Claimant") was represented by John A. Elardo, Esq., of Thomas & Burke, P.C, Phoenix, Arizona Respondents Sean Waltz ("Waltz") and Olde Discount Coqjoration ("OLDE")(or collectively referred to as "Respondents") were represente

N.A.S.D. AWARD NATIONAL ASSOCU'nON OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant Olde Discount Corp. 94-03936 Name of Respondent Michael D'Aloia REPRESENTATION m For Claimant, Olde Discount Corporation ("Okie"): Douglas P. Lane, Esq. and Francis R.. Ortiz, Esq. of Dickenson, Wright, Moon et al., Detroit, Michigan. For Respondent, Michael C. D'Aloia ("D'Aloia"): Guy M. Bums, Esq. of Johnson, Blakely,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James C. Miller, Trustee, on behalf of the Miller Charitable Remainder Unitrust 94-03924 Name of Respondents Dain Boswoith Incorporated Paul D. Hoskin gAS^ SVMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Septembn 26,1994, Claimant, lames C. Miller, Trustee, on behalf of die Miller C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between Name of Claimants Milton H. and Dorothy L. Bloom 94-03923 Name of Respondents Invest Financial Corporation Barry E. Chase CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Sqptember 26,1994, Claimants Milton H. and Dorothy L. Bloom, who appeared Pro Se, alleged that Respondents Invest Financial Coipo

.•\rbiii;ition .No. 94-()3907 AWARD NASD RI'XTULATIO.N. INC.. OFFICK OF DISPUTE RKSOLUITON In the matter of tho Arbitration Between Name of Claimant Toluca Pacific Securities ("orp.. Inc. V. Name of Respondents Rcijiency Capital Group and Cynthia D. Phillips CASE INFORMATION Statement of Claim filed: September 26. 1994 Claimant's Submission Agreement signed: September 22. 1994 HEARINC; INFORMATION Pre Hearing Conference D

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Campbell v. Merrill Lynch, Pierce, Former & Smith, Inc., Gerald R. Browne and Frank Browne Case Number: 01-04456 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, James Campbell, hereinafter referred to as "Claimant": Chad N. Cagan, Esq., Sonnenblick, Parker & Selvers, Freehold Executive Center, 4400 Route 9 South, Freehold, NJ 07728. Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant W. Curtis Tecmire 94-03905 Name of Respondent Pnidential-Bache Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 23,1994, Claimant W. Curtis Tecmi^, who appeared Pro Se, alleiged that Reqxmdent Prudential-Bache Securities, Inc. made misrq)resentations to induce

N.A.S.D. AWARD NATIONAL ASsdtlATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Laurie A. Rosenthal 94-03904 Dean Witter Reynolds, Inc. Carolyn Lee CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 23, 1994f Claimant Laurie A. Rosenthal, through her rq)resentative, James J. Eccleston, Esq., Chicago, IL, alleged that Respondents Dean Witter Reynolds, Inc. (