N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS !n the Matter of the Arbitration Between Name of Claimant Reich & Co.. Inc. Name of Respondent Stuart Laurence Davis 94-02309 REPRESENTATION For Claimant, Reich & Co., Inc. ("Claimant"), Martin E. Karlinsky, Esq. located in New York, NY. For Respondent, Stuart Davis ("Respondent"), Alan Serrins, Esq. of the law firm of Dienst & Serrins, located in New York. NY. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ronald and Carol Magnuson 94-02308 Name of Respondent Jeffrey S. Goldstern REPRESENTATION For Claimants Ronald and carol Magnuson ("Claimants"): Stephen T. Gannon, Esq., McSweeney Burtch & Crump, Richmond, VA. For Respondent Jeffrey S. Goldstern ("Respondent"): Edwin A. Zipf, Esq., Brassier Amery & Ross, Florham Park, NJ.

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between PRUDENTIAL SECURITIES, INC. Claimant and Counter-Respondent, v. NASD No. 94-2305 ARVID LOCKENSGARD, Respondent and Counter-Claimant. Representation For Claimant: Patricia Fitzpatrick, Esq. of Prudential Securities, Inc., New York, New York For Respondent: Louis DeMers, Esq. of DeMers, Callison & Donovan, Sacramento, California Case Information State

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kemper Securities, Inc. 94-02368 Name of Respondent Erik R. Hansen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 21, 1994, Claimant Kemper Securities, Inc., through its representative A. Brad Busscher, Esq., alleged that Respondent Erik R. Hansen, entered into a Trainee Agreemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John D. King 94-02366 Name of Respondents K. Aufhauser & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 20, 1994, Claimant John D. King, who appeared Pro Se, alleged that Respondent K. Aufhauser & Company failed to execute his sell order of 3500 shares of Air Transpo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Morton and Lydia J. Sugarman 94-02364 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 21, 1994, Claimants Morton and Lydia J. Sugarman, who appeared Pro Se, alleged that Respondent Charles Schwab & Co., Inc. placed their account in jeopardy over a thre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants David J. and Phyllis J. Cridge 94-02463 Names of Respondents Olde Discount Corporation, Jon Zabrocki, and Andrea Charles Perkins REPRESENTATION Claimants, David J. and Phyllis J. Cridge were represented by Kevin D. Hofman, Esq. of Jacobson, Harwood, Brill & Bennett, Minneapolis, Minnesota. Respondents, Olde Discount C

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03173 Elizabeth Frey Banks Names of the Respondents Hearing Site: Boca Raton, FL Bernard G. Adair and Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION OF PARTIES For Elizabeth Frey Banks, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Darren C. Blum, P.A., Plantation, FL. For Bernard G. Adair ("Adair") and Merrill Lync

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joan Nelson and Alfred C. Nelson 94-02360 Name of Respondents Legg Mason Wood Walker, Inc Jamie Vogel Fallen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 21, 1994, Claimants Juan and Alfred C. Nelson, through their representative, William Lewis Randolph, Williamsburg, VA,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jerome Wasserman 94-02359 Name of Respondents Camelot Investment Corp. John Fasano Kirk Graham CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 21, 1994 , Claimant, Jerome Wasserman, who appeared Pro Se, alleged that Respondents Camelot Investment Corp. ("Camelot"), John Fa