N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimanj Dolores K. Becker 94-02387 Name of Respondents v Paul R. Konsig G.M.S. Group, Inc. Dennis A. Earles REPRESENTATION For Claimant: Kenneth G. Turkel, Esq. of the law firm of Williams, Reed, Weinstein, Schifino & Mangione, P.A., Tampa, Florida. For Respondents: Donald N. Cohen, Esq. in-house counsel at Gruntal & Co. Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Marguerite Pleshe, Claimant, v. No. 94-02386 Merrill, Lynch, Pierce, Fenner & Smith, Inc. Respondent REPRESENTATION OF PARTIES Claimant Marguerite Pleshe ("Claimant") was represented by Thomas H. Watson, J.D., Phoenix, Arizona. Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") was represented at the hearing by Janet W. Lord, Esq., of Fennimore Craig, Phoeni

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants John Turi, Individually and as Trustee of American Colonial Press, Inc. Employee Pension Trust Case No. vs. 94-02384 Name of Respondents Philip Hitman and Gary Hollander REPRESENTATION For Claimant John Turi, Individually and as Trustee of American Colonial Press, Inc., Employee Pension Trust, ("Turi" and collectively "Claimants"), appeared George

N.A.S.D. Stipulated AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ClaimantCs) OCT 4 1995 FL ARBITRATION Prudential Securities Inc Name of Resoondent(s) Louis M. La Flamme 94-02380 REPRESENTATION For Claimant, Prudential Securities, Inc. ("Prudential"): Denis McCarthy, Esq. of Prudential. Respondent, Louis M. LaFlamme was pro sjg. CASE INFORMATION Statement of Claim filed

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William D. Steinruck as Trustee of the William D. Steinruck Revocable Living Trust dated August 27, 1987 and NASD Case Number 94-02379 The Harriman Group, Incorporated, Dennis Seleeby, Shawn Nester and Stephen Palumbo REPRESENTATION OF PARTIES Claimant, William D. Steinruck as Trustee of the William D. Steinruck Revocable Living Trust dat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names o Estate of Alice E. Whitworth Alice E. Whitworth Trust 94-02407 Name of Respondent Prudential Securities Inc REPRESENTATION For Claimants, Estate of Alice E. Whitworth and The Alice E. Whitworth Trust ("Whitworth"): George Franjola, Esq. of Allen, Dyer, Doppelt, Franjola & Milbrath, P. A., Orlando, Florida. For Respondent, Prudential

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard B. Perlman 94-02402 Name of Respondents D.H. Blair & Company Alfred Palagonia J. Morton Davis For Claimant: Ralph A. Gant, New York, New York. For Respondent: Carole R. Bernstein of Bachner, Tally, Polevoy & Misher, New York, New York. CASE INFORMATION Statement of Claim filed: June 4, 1994. Claimant's S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corporate Securities Group, Inc. 94-02401 Name of Respondent Joseph Melendez CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 23, 1994, Claimant Corporate Securities Group, Inc., through its representative, Gregory Tendrich, Esq., Boca Raton, PL., alleged that Respondent Joseph

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corporate Securities Group, Inc. 94-02400 Name of Respondent Leandro Obenauer CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 23, 1994, Claimant Corporate Securities Group, Inc., through its representative and in-house counsel, Gregory Tendrich, Esq., Boca Raton, PL., alleged that

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald V. Johnston, Claimant v. Interfirst Capital Corporation and Bradford A. Phillips, Respondents Case Number: 01-03161 Hearing Site: San Diego, California ^PRESENTATION OF PARTIES For Claimant: For Respond- Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California Eric J. F. Redwine, Esq. Redwine Law Offices Dallas, Texas CASE