N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s> Associated Brokers. Inc. 94-04990 Name of Rest)ondent(s) Smith Barney Inc. REPRESENTATION For Claimant: Robert D. Wildstein. P.C, Atlanta, Georgia. For Respondent: Victor A. Machcinski, Jr., Esq., Associate General Counsel. Statement of Claim filed: November 28. 1994. Claimant's Submission Agreement signed on: November 2

N.A.S.O. AWARD IVATIONAL ASSOCIATION OF SECURITIES DEALERS Virginia Hill. Gaimant, No. 94-04985 Boucher. Oehmke & Quinn, and Roben L. Bothweil, Respondents. REPRESENTATION OF PARTIES Claimant Virginia Hill ("Claimant") was represented by Michael Salcido, Esq., Scottsdale, Arizona. Respondent Robert L. Bothweil ("Bodiweil") was represented by Neil J. Konigsberg, Esq., of Whitehill. West, Rowland & ChristofTel, Tucson. Arizona. Boucher. Oe

NASD Arbitration No. 94-04979 W.A.S.Dt AWARD NATIONAL ASSOCTATTON OF SECUR-.TIES DEALERS. TNC. In the matter of the Arbitrat-on Between Name of Claimant(si Kirk Larkin Name of Reapondent(s) Toluca Pacific Securities Corporation Richard Cidrone RBPRBSEMTATIPW For Claimant: Edward T. Swanson, Esq. SeUita Monica, Califomia For Respondent Toluca Pacific Securities Corporation: Peter Blowitz, Toluca Pacific Securities Corporation, Toluca

N.A.S.D. AWARD NATIONAL A.SSOCTATTQN OF SECURITIES DEALERS. INC. in the matter of •he Arbitration Between Name nf Claimant Jean Neal NASD Arbitration No.94-04978 Name of Respondents Merrill Lynch. Pierce, Fenner & Smith, Inc. Douglas Johnston REPRESFNTATTON For Claimant: Jean Neal, Graham, Washington For Re$p9ndents: Eric D. Lansverk, Esq., Hillis Clark Martin & Peterson, Seattle, Washington CASE INFORMATION Statement of Clai

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Aibitration Between Anthony S. Zambri 94-04976 Name of Respondent Investors Associates Inc. In a claim filed with the National Association of Securities Dealers, Inc. on November 25, 1994, Claimant, Anthony S. Zambri, who app&red Pro Se, allied that Ricspondeiit, fiovestors Associates, Inc., made unauthorized transactions in his account; Claimant fuither alleged that h

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitiation Between Name of Claimant E>onald E. Paxton 94-04975 Name of Respondents Louis Pepe Bernard Golembe CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 25,1994, Claimant Donald E. Paxton, who appeared Pit) Se, alleged that Respondents Louis Pepe ("Pepe") and Bernard Golembe ("Golembe"), made transactio

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In Che Matter of the Arbitration Between Name of Ciaimanifs) Richard .A. and Patricia Sattler 94-04974 Name of Respondent's) Charles Parisio Hibbard Brown and Company (Bankrupt) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 25, 19^4 Claimants Richard A. and Patricia Sattler, who appeared Pro Se, alleged that Respondem Charles Parts

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ralph Nugent Marc Chambers 01-04336 Jorge E. Villalba, Jr.; A. Phillip Chang; SAL Financial Services, Inc.; Barrel Thomas Uselton; Joseph Anthony Cerbone; Jerry Kinnan, Esq.; National Capital Company, Inc.; AISCO Holdings, Ltd.; and, American Investment Services, Inc. Dallas, Texas 017 TP Public Customers v. Member Firms, Non-Members and Associate

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITTP.S DEALERS. INC. In the matiter of the Arbitration Between Name of Claimant: (si Donald M. LaPlant Sherry A. LaPlant NASD Arbitration No. 94-04972 Name of Respondent(s) Lehman Brothers, Inc. RBPRESEMTATIPM For Claimants: Donald M. LaPlant and Sherry A. LaPlant, Ravensdale, Washington For Respondent: William A. Olshan, Esq., Lehman Brothers, Inc., New York, New York CASE INFQRMATIQM

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECtntlTIES DEALERS 94-04968 In the Matter of the Arbitration Between Ngmg_o^_Clg^jgjjts Allen R. Siedle, Raymond A. Siedle, and Allen R. Siedle and Veronica E. Siedle, Name of Respondents Merrill Lynch, Pierce Fenner &. Smith, Inc., Joseph M. Wetschka, John P. Czaia, and Henry J. Crepeau. RBPRKSBNTATION The Claimants, Allen R. Siedle amd Raymond A. Siedle, deceased, £md Allen R. Sie