NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Joan R. Palmer and NASD Case Number: 94-02358 Name of Respondent Prudential Securities, Inc. REPRESENTATION^ P F PARTIES Claimant Joan R. Palmer was represented by Walter L. Baumgardner, Esq. of Musilli, Baumgardner, Wagner & Parnell located in St. Clair Shores, Michigan. Respondent Prudential Securities, Inc. was rep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David V. Cohen Award No. vs. 94-02355 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION For Claimant, David V. Cohen ("Claimant") David J. Kneeland, Esq. from the law firm of Glickman, Sugarman & Kneeland located in Worcester, Massachusetts. For Respondent, Merrill Lynch, Pierce, Fenner and Smith

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Deborah Hodson St. Charles and Name of Respondents Prudential Securities, Inc., and Stephen G. Edmondson NASD Case Number: 94-2354 REPRESENTATION OF PARTIES Claimant, Deborah Hodson St. Charles was represented by O. Wayne Davis, Esq. of Henderson Daily Withrow & Devoe located in Indianapolis, Indiana. Respondents, Pru

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Raj Vadhera, as Personal Representative of the Estates of Navrata Ram Vij, and Guaran Devi Vij, deceased, Claimant, » v. NASD No. 94-02347 Shearson Lehman Hutton, Inc. a corporation; Raul Del Rio, an individual, Respondents. Representation For Claimant: Stephen Oggel, Esq., San Diego, California For Respondent Shearson Lehman Hutton, Inc. (S

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Donald Jamieson and 94-02344 Name of Respondent Kirkpatrick, Pettis, Smith, Polian, Inc. REPRESENTATION OF PARTIES Donald Jamieson ("Claimant") was represented by Gregory D. May, Esq., Munsch Hardt Kopf Hair & Dinan, Dallas, Texas. Kirkpatrick, Pettis, Smith, Polian, Inc. ("Respondent") was represented by Raymond R. Hessling,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(g) Frank Fountain Name of Respondent(s) J.W. Bullard & Company J.W. Bullard Lillian Vinci NASD Arbitration NO. 94-02394 REPRESENTATION For Claimant: George L. de la Flor, Esq., San Diego, California For Respondents: No Appearance by Respondents. CASE INFORMATION Statement of Claim filed: June 14, 1994

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arthur E. Baz 94-02391 Name of Respondent The Ohio Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 23, 1994, Claimant Arthur E. Baz, who appeared Pro Se, alleged that Respondent The Ohio Company withheld commissions from him, debited his account without authorization and f

NASD Arbitration No. 94-02390 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(.O Vector Aeromotive Corporation Name of Respondent^ Merrill Lynch, Pierce, Fenner & Smith, Inc. and Michael McCall REPRESENTATION For Claimant: Harold A. Ducote, Jr., Esq. Aprahamian & Ducote, P.C. Costa Mesa, California For Respondents: Thomas L. Taylor, ffl, Esq. Jones, Bell, S

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Alexander Boardman and 01-03163 Denver, Colorado Name of Respondent Hornblower & Weeks, Inc. ^PRESENTATION OF PARTIES Alexander Boardman ("Claimant") was represented by William R. Fishman,Esq., Attorney at Law, Denver, Colorado. Hornbiower & Weeks, Inc. ("Respondent") was represented by Eric Ellenhorn, Hornblower & Weeks, Inc., New York, New York,

N.A.S.D. AWARD .NATIONAL ASSOCIATION OF SECURITIES DFALERS. INC. In the matter of the Arbitration Between Name of Claimant John j. Sexton NASD Arbitration No. 94-02388 vs. Name of Respondent Barry Parr REPRESENTATION For Claimant John J. Sexton, Tustin, California: Appearance in pro per For Respondent Barry Parr, Laguna Hills, California: Appearance in pro per CASE INFORMATION Statement of Claim filed: June 13,1994 Claimants' Sub