AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantrs) Jeanne Sorensen Name of Respondentf .s^ Smith Bamey Inc. David Johnston Paul R. Johnston AND NameofClaimantrs^ The Estate of William H. Sorensen Lenora Sorensen Naane of Rgspondemfs) Smith Bamey Inc. David Johnston Paul R. Johnston Arbitration No. 94-04484/94-04579 consolidated cases REPRE

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Ruth C. Elliott Case No. 94-4983 Name of Respondents Peter C. Bucchieri Steven R. Stricldand /i'lA Bucchieri Asset Management.Inc. REPRESENTATION Claimant Ruth C. Elliott ("Claimant") was represented by John P. Connolly, Esq., Alexandria, Virginia. Respondents'Peter C. Bucchieri-("Respondent") and Bucc

N.A.S.D. AWARD NATTONAL ASSOCTATTON OF SFCURTTTFS DKALFRS. INC. in the matter of the Arbitration Between Name of Claimant Gilford Securities, Inc. vs. Name of Respondenrs Nancy Turner, Andjar, Inc., Cartersville Land Partners, Inc., Parkwood Investors, Inc., and Badger Holdings NASD Arbitradon 94-05012 REPRESENTATION For Claimant: James Almstead and Chip Unsworth No one appeared on behalf of any of the Respondems. CASE INFOl^

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Aibitration Between Name of Claimant Alex Shindman 94-05008 Name of Respondent William B. McKee, and W. B. McKee Securities, Inc. REPRESENTATION For Claimant: Jacob Zamansky, Esq. of the law firm of Singer, Bienenstock, Zamansky, Ogele & Selengut, LLP. New York, NY. For Respondent: Alex B. Vakula, Esq. of the law firm of Titus Brueckner & Berry, Scottsdale, CASE I

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard C. Massey, and Marilyn A. Massey, Claimants, V. No. 94-04999 A.G. Edwards & Sons, Inc., and Wayne Buegg, Respondents. Richard C. Massey, and Marilyn A. Massey, JTTEN ("Claimants") appeared on their own behalf A.G. Edwards & Sons, Inc. ("AGE"), and Wayne Buegg ("Buegg") (collectively referred to as "Respondents") were represented b

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Thomas J. DeLisle and 01-04338 Minneapolis, Minnesota Name of Respondent Miller Johnson Steichen Kinnard, Inc. REPRESENTATION OF PARTIES Thomas J. DeLisle ("Claimant") appeared pro se. Miller Johnson Steichen Kinnard, hie. ("Respondent") was represented by F. Chet Taylor, Esq., Miller Johnson Steichen Kinnard, Inc., Minneapolis, Minnesota. C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Frank J. Prezelski, (Claimant/CounterRespondent) v. Everen Securities, Inc. n/k/a First Union Securities, Inc., (Respondent/CounterClaimant) Case Number: 00-01374 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant/CounterRespondent Frank J. Prezelski ("Prezelskf'): Edward J. Boyle, Esq., Wilson, Elser, Moskowitz, Edelman, and Dicker, LLP, New York, New York

N.A.S.D. AWARD \ NATIONAL ASSOCIATION OF SECURITIES DEALERS ^ In the Matter of the Aibitration Between J Name of Claimants Ronald and Rhoda Bermon 94-04998 Name of Respondents Sheny Bmce State Discount Brokers, Inc. CASE SUMMARY In a claim fded with the National Association of Securities Dealers, Inc. on November 28,1994, Claimants Ronald and Rhoda Bermon, who appeared pro se, alleged tbat Respondems State Discount Brokers ("State")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Carmela R. Giannasio 94-04997 Charies Musumeci, Jr. Joseph Musumeci Abraham Auerbach CJM Planning Corp. REPRESENTATION Claimant Carmela R. Giannasio ("Claimant") appeared pro se. Respondent Charles Musumeci, Jr. ("Charles Musumeci") appeared pro se. Respondent Abraham Auerbach ("Auerbach") appeared pro se. Respondent Joseph Musumeci ("Josq}h Musumeci") appeare

AWARD NASD REGULATION. INC. 94-04995 In the Matter of the Arbitration Between Name of Claimants Ruth DeGennaro Name of Respondents CMA Analytical Services. Inc. First Montauk Securities Corporation. Inc. Greater Metropolitan Investment Services, Inc. Bruce F. Feldman REPRESENTATION For Claimant Ruth DeGennaro ("Claimant") appeared Morgan W. Bentiey, Esq. of Newark, New Jersey. Respondent Bruce F. Feldman ("Feldman") did not appea