PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hsue Tung 92-02129 Name of Respondent Christopher L. DeDea CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 25, 1992. Claimant Hsue Tung, who appeared Pro Se. alleged that in April 1986 Respondent Christopher L. DeDea started to solicit business from Claimant whereby he

Arort ration V A S D AWARD National Associate .N.A.i.U. AWAKL) Sacuntiw 0*»»rs. NASD Financial Cent NATIONAL ASSOCIATION OF SECURITIES DEALERS p ™*«e™ Street New fork. N.Y. -OOG _—— =AX (212) 858-4389 In (he Matter of the Arbitration Between N'ame of Claimant!si Nesis Group Inc. and Susita Ltd PUBLIC 92-02117 Name of Respondent^) losephthal Lyon & Ross Jacob Sliapira REPRESENTATION For Claimants Nesis Group Inc.. and Susita L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimaqt Joseph A. Maguire NASD Arbitration No. 92-02116 Najne of Respondent David Lutz REPRESENTATION For Claimant: In Pro Se For Respondent: In Pro Se CASE INFORMATION Statement of Claim filed: June 24, 1992 Claimant's Submission Agreement signed: November 26, 1991 Statement of Answer filed by Respondent: Septemb

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cunningham Impl't Co. Profit SH TR 92-02109 Name of Respondent Prudential Securities. Inc. CASESTJMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 24, 1992. Claimant Cunningham Implement Company, by and through Robert Cunningham, alleged that Respondent Prudential Securities. I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name ot Claimant Jeno Kelety 92-02102 Name of Respondent Robert Todd Financial Corp. REPRESENTATION Claimant. Jeno Kelety. appeared without counsel. For Respondent. Robert Todd Financial Corp. ("RTFC"). Edward Curtin. Esq.. from the law firm of Gersten Savage Kaplowitz & Curtin. CASE iNr Statement of Claim was filed on June 22. 1992.

NA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In Che Matter of the Arbitration Between Name of Claimants Henry F. and Frances Haraer 92-02096 of Respondents F. N. Wolf & Company, Inc. Clayton R. Bugg REPRESENTATION Claimant Henry F. and Frances Harner ("Claimants") were represented by Ian R. D. Williams, Esq. of the law firm of Harrison & Johnston. For Respondent F. N. Wolf & Company ("Wolf): John S. Ban, Esq. of the law firm

N.A.S.D. AWARD NATIONAL ASSOdATICK OP SECUkTi'ltS In the Matter of the Arbitration Between Kama of Claimant C. B. Scrignar 92-02095 Nam of Respondents 6 Janes G. Shay Claimant ^aftiari to flippm*!* at th*i For Respondent: David M. Mizmick, Esq., First Vice President and General Counsel, Morgan Keegan Co., Menphis, QSB Statammt of Claim flledi June 22, 1992. Claimant's Submission Agreanant signed on: JVily 6, 1992. Joint State

KAJSJ). AWARD NATIONAL ASSOCIATION OF SECUMTIKS Cnol Banko Rogeg^E5taie of August F. Banko, Cloi v. No. 92-02093 Smith Barney Harris Upham & Co., Inc. and Robert Guenther, Respondents. Claimant Carol Banko Rogers/Estate of August F. Banko ("Claimant") appeared on her own behalf. Rnpoixlents Smith Bai^ Ham represented by Paul KL Barenholtz, Esq., of Smith Barney, New York, New York. CASE INFORMATION ^^^^^^^^^n^^n^i^ii^ii^i^ii^ii^i^^v i'

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Juan Rodriguez Ochoa; Amelia Gracia de Rodriguez; Juan Rodriguez, Jr. 92-02084 Name of Respondents PaineWebber Incorporated; Michael A. Chmiei For Claimants: Juan Rodriguez Ochoa, Amelia Gracia de Rodriguez and Juan Rodriguez, Jr. were represented by Thomas G. Bousquet, Esq. and Barbara Parsons, Esq. of Bousquet & Pars

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter oLthe^Afbitration Between Name of Claimant Thomas L. Stafford vs. AWARD #92-02083 Name of Respondent National Financial Services Corp. Ifljhe fatter of the Arbitration Between Name of Claimants Signet Investment Corporation n/k/a Signet Financial Services, Inc. Signet Bank/Virginia vs. AWARD #93-02573 Name of Respondent Thomas L. Stafford The abov