N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michele J. Difranza & Rita V. Difranza Award No. vs. 94-02299 Name of Respondents The Financial Consulting Group, Inc. William Mobilia, Sr. For Claimants, Michele J. DiFranza and Rita V. DiFranza, Individually and on Behalf of the Individual Retirement accounts for Michele J. and Rita V. DiFranza ("Claimants"), Elizabeth F. Ma

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PaineWebber, Inc. Claimant NASD Arbitration v. No. 94-02298 Jay R. Rice Respondent REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by Alice K. Jump, Esq., PaineWebber, Inc., Weehawken, New Jersey. Jay R. Rice ("Respondent") was represented by William D. Nelson, Esq., Robinson, Waters, OTJorsio & Rapson, Denver, Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Melba L. White 94-02287 N,ajne 9f Respondents Prudential Securities, Inc. Ronald Long CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 16, 1994, Claimant Melba L. White, who appeared Pro Se, alleged that Respondent Ronald Long of the Respondent firm Prudential Securities, Inc.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Legg Mason Wood Walker, Inc. and Name of Respondent Carl A. Grimstad NASD Case Number: 94-02280 REPRESENTATION OF PARTIES Claimant. Legg Mason Wood Walker was represented by Andrew J. Bowden, Esq. of Legg Mason Wood Walker, Inc., Baltimore, Maryland. Respondent, Carl A. Grimstad was represented by Harland L. Smith, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name pf Claimants William & Valerie King 94-02278 N_ame of Respondents Newby & Co. Steven T. Newby Mitchell A. Metzman REPRESENTATION For Claimants William and Valerie King ("Claimants"): Arthur M. Schwartzstein, Attorney at Law, Washington, D.C. For Respondents Newby & Co., Steven T. Newby and Mitchell A. Metzman (collectively referred

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jean M. Cummins; IRA Rollover Dated 09/09/98; Jean M. Cummins Trustee of Jean M. Cummins Trust U/A Dtd March 19,1991 Names of the Respondents Morgan Stanley Dean Witter James E. Brooks Case Number 01-03175 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jesus and Gerardo Salazar 94-02272 Name of Respondents Southwest Securities, Inc. David Castellvi David Wallace CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 13,1994, Claimants Jesus and Gerardo Salazar (hereafter "Claimant"), who appealed Pro Se, alleged that Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/.O Laurie R. Porter 94-02270 Name of Respondents) Dean Witter Reynolds Inc. Daniel S. Remigino CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 13, 1994, Claimant Laurie R. Porter appearing Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., through its registered repre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frederic N. Richman 94-02269 NameofResDondents RAF Financial Corporation Robert L. Long CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 13, 1994, Claimant Frederic Richman, who appeared Pro Se, alleged that Respondents RAF Financial Corporation ("RAF") and Robert Long ("Long")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Peter Marko 94-02268 Reynolds Kendrick, Stratum, Inc. H. David Jones CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 15, 1994, Claimant Peter Marko, who appeared Pro Se, alleged that Respondent H. David Jones of the Respondent firm, Reynolds Kendrick, Stratton, Inc. failed to execute a sell order for