N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 94-03863 Name of Respondent Joseph C. Korwaslty CASE SirMMARV In a claim filed with the National Association of Securities Dealers, Inc. on September 20, 1994, Claimant Prudential Securities, Inc. ("PSI"), through its counsel David L. Becker, Esq., of Kutak RockT'New York, New York, alleged that on o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimants Frances J Swirble & Larry Kisslinger JTTEN. 94-03862 Name of Respondents R.M. Tonge Company Robert M. Tonge REPRESENTATION Claimants Frances J. Swirble and Larry Kisslinger ("Claimants") were represented at the hearing by Michael J. Holder, Esq. of the law firm of Molder & Innelli, Philadelphia, PA Respondents R.M. Ton

N.A.S.D. AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS In the Matter of Arbhration Between Name of Claimant Laura Gnien 94-03860 Name of Respondents M.R. Beal & Company, Bernard Beal, Thomas Monti, and Harold Ognelodh REPRESENTATION For Claimant: Arthur P. Fisch, Esq., a sole practioner. New York, NY. For Respondent: Stephanie Wilson, Esq., from the hiw firm of Lowenstein, Sandler, Kohl, Fisher & Boylan, Roseland, NJ. CASE INFORMA

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of Arbitration Between Gary. Anne & Joseph Zambito Case # 94-3859 Smith Bamev Shearson REPRESENTATION For CUdmants, Gary, Anne & Joseph Zambito: Steven M. Kramer, Esq., of the law firm Steven M. Kramer & Associates, New York, NY For Respondent, Smith Barney Shearson, Sean Coughlin, Esq., of Smith Barney, Inc., New York, NY For Respondent, Ernest Raab, Llyod Clareman, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of die Arbitration Between Name of Claimant Dean Witter Reynolds Inc. 94-03857 N2Q2£_QL£SBSSS!S&S James A. King CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 21,1994 Claimant Dean Witter Reynolds Inc. ("Qaimant"), dirough its representative and m bouse counsel, B. Carole Hoffinan, Esq., alleged that Respondent James

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant S.D. Cohnand Co.. Inc. 94-03855 Name of Respondent James J. Monteleone ESENTATION For Claunant S. D. Cobn and Co., Inc. appeared Robert B. McKay, Esq., of the law firm of Carney & McKay, Garden City. New York. For Respondent James J. Monteleone appeared Edward R. Curtu. Esq., of the law firm of Gresten Savage Kaplowitz ic C

NASD REGULATION, Inc. AWARD In the Matter of the Arbitration Between Name of Claimants Richard J. McDonald Carol McDonald Michael B. McDonald Carolyn A. McDonald Name of Respondents Michael Montelli South Richmond Securities, Inc. 94-03853 REPRESENTATION For Claimants Richard McDonald, Carol McDonald, Michael McDonald, and Carolyn McDonald, collectively ("Claimants"), appeared Leon B. Lipkin, Esq. located in New York, New York. F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nam^ {ff < 7|aifl??l"TS Delilah E. Hohnes and FeUci C L. Brown 94-03843 Name of Resiwndents Greenway Ci^>ital Corp John J. Labeck CASE SUMMARY In a claun filed with the P^tional Association of Securities Dealers, Inc. on September 19,1994, Claimams Delihdi E. Hohnes and Felici C.L. Brown, who ^ipeared Pro Se, allied that Respondents John Lab

Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04452 Antonio Costanzo Names of the Respondents Hearing Site: Little Rock, AR Falcon International Group, Inc. Dr. F.S. Fallon, Jr. Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Antonio Costanzo, hereinafter referred to as "Claimant": Ernest Edward Badway, Esq., Saiber Schlesinger Satz & Goldstei

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Name of Claimant Joseph Daniel Card 94-03832 Name of Respondents Stratton Oakmont, Inc., Eric Blumen, Irving Stitsky, and Ira A. Boshnack REPRESENTATION OF PARTIES -Claimant, Joseph.D.X^ard was represented by Mark J. Briol, Esq. and Gregory L. Wilmes, Esq. of Briol & Wilmes, Minneapolis, Minnesota. Respondents, Stratton Oakmont, Inc.,