N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sidney S. Rudman 94-02267 Name of Respondents A.G. Edwards & Sons, Inc. Alex Bigelow CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 15, 1994, Claimant Sidney S. Rudman, through his representative, Jeff Cahn, of PDJ Group, Inc, in Boca Raton, Florida, alleged that Respondents

N^.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William J. Pierce 94-02339 Name of Respondents R.J. Steichen and Company Carl D. Moen REPRESENTATION « For Claimant: William J. Pierce ("Pierce"): David S. Maglich, Esq., of Fergeson, Skipper, Shaw, Keyser, Baron & Tirabassi, P.A., Sarasota, Florida. For Respondent: RJ. Steichen ("RJS"): Steven E. Rau, Esq., of Rau & Flo

N A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James W. Givens 94-02329 Name of Respondents Lovett Underwood Neuhaus & Webb, Inc Buddie C. Ballard, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 10, 1994, Claimant James W. Givens ("Givens"), through his representative Paul N. Young, CEO, of Securities Arbitration Grou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gregory J. Harnyak 94-02328 Name of Respondents A.T. Brod Donald Stunoff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 20, 1994, Claimant Gregory J. Harnyak, who appeared Pro Se, alleged that Respondent Donald Stunoff of the Respondent firm A.T. Brod began trading SEP 100 index, CBOE options in

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between JOSEPH FIERLING AND ELLEN FIERLING, Claimants, v. NASD No. 94-2327 WEDBUSH MORGAN SECURITIES, INC., AND RONALD RICE, Respondents. Representation For Claimant: John Bender, Esq. of Weiss, Jensen, Ellis & Botteri, Seattle, Washington For Respondent: Thaddeus Paul of Keesal Young & Logan of Seattle, Washington Case Information Statement of Claim fi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of. Claimant John B. Lewis 94-02320 Name of Respondents Shearson Lehman Brothers, Inc. (n.k.a. Smith Barney, Inc.) Martin J. Bannon, III REPRESENTATION Claimant John B. Lewis ("Claimant") was represented at the hearing by David R. Simonsen, Jr., Esq. and Vicki A. Verwey, Esq. of the Law Firm of David R. Simonsen, Jr. Respondent She

In the Matter of the Arbitration Between: Todd Seewald, Claimant v. First Union Securities, Inc., Morgan Stanley Dean Witter, and Marc Feldman, Respondents Case Number: 01-03174 Hearing Site: Boca Raton, Florida For Todd Seewald, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Law Offices of Darren C. Blum, Plantation, FL. For Respondent First Union Securities, Inc. ("FUS"): Brian A. Carlis, Esq., Stark & Stark, P.C., Lawrenceville, NJ. For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Darin J. Lieber 94-02317 Name of Respondent(s) Brown & Company Securities Corporation REPRESENTATION For Claimant, Darin J. Lieber ("Lieber") appeared Andrew Rossman of Akin Gump Strauss Hauer & Feld, L.L.P. For Respondent, Brown & Company Securities Corporation ("Brown") appeared Barry Fischer of Bernkopf, Goodman & Bas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 94-02313 Name of Respondent David Fleischer REPRESENTATION For Claimant Prudential Securities, Inc. appeared Jill A. Byrne, Esq. with the law firm of Kutak Rock, Washington, D.C. For Respondent David N. Fleisher appeared Norris D. Wolff, Esq. of the law firm of Kleinberg, Kaplan, Wolff & Cohen, "

Case Number 94-02310 ^ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Claimant Reich & Co., Inc. Respondent Jeffery Zieger R]fiPRF.SF.NTATIQN Claimant, Reich & Company, Inc. ("Reich"), Martin Karlinsky, Esq. in-house counsel located in New York, New York. Respondent, Jeffrey Zieger ("Zieger"), appeared pro se. CASE INFORMATION Claimant's Statement of Claim was filed on: June 8,