NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Krieger Family Trust, Milton Krieger, Trustee Claimant, v. NASD No. 94-01875 Paine Webber, Inc. and Dennis Ryan, Respondents. Representation For Claimant: Pro se, Beverly Hills, California For Respondents: Catherine Pratt, Esq., of Paine Webber, Inc., Los Angeles, California Case Information Statement of Claim filed: May 17,1994 Claimant

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Lan Fang Chen Names of Respondents William Fraser Your Discount Broker, Inc. Case No. 01-03072 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Lan Fang Chen ("Chen") hereinafter referred to as "Claimant": Randall W. Henley, Esq., West Palm Beach, Florida. For Respondents Your Discount Broker, Inc. ("YDB") and William Fraser (

ASSOCIATION OF SECURITIES DEALERS. In the matter of the Arbitration Between Name of .ClaJJni?nfc fa) Zeilberger Family Revocable Trust Ernest Zeilberger and Marilyn Zeilberger, Trustees NASD Arbitration No. 94-01872 ff flpn» of R^flppp^ient la) BA Investment Services, Inc. For Claimant: Ernest Zeilberger, Tarzana, California For Respondent: Arne D. Wagner, Esq. and Michael J. Halloran, Esq. , Bank of America NT&SA, San Francisco, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William DeMarkey 94-01870 Name of Respondent PaineWebber, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 18, 1994, Claimant William DeMarkey, who appeared Pro Se, alleged that Respondent PaineWebber, Inc., breached its fiduciary duty to him. Claimant further alleged that Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name pf Claimants Paul A. Shea and Penne J. Shea CASE No. v. 94-01862 Name of Respondents Paragon Capitol Corporation Anthony J. Toscano RKPRRSKNTATrfW For Claimants, Paul A. Shea and Penne J. Shea ("Claimants"), Evans J. Carter, Esq. from the law firm of Kassler & Feuer located in Boston, Massachusetts. For Respondent, Paragon Capital

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stanley A. Jakubowski Award No. vs. 94-01860 Name of Respondents A.S. Goldman & Co., Inc. Paul Cilmi REPRESENTATION For Claimant, Stanley R. Jakeboski ("Claimant"), James P. O'Neill, Esq. formerly with the law firm of Townley & Updike located in New York, New York, and now attorney-at-law located in Garden City, New Yor

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between » •. of Claimant Patricia Sara and 94-01850 Name of Respondent Kemper Securities Group, Inc. REPRESENTATION OF PARTIES Patricia Sara ("Claimant") was represented by David S; Acker, Esq., Williams Bay, Wisconsin. Kemper Securities Group, Inc. ("Respondent") was represented by Paul J. Campbell, Esq. and Christopher Barber, Esq., Coffiel

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS * In the Matter of the Arbitration Between Name of Claimant Frederick M. Ganz 94-01845 Name of Respondent La Jolla Capita] Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 17, 1994, Claimant Frederick Ganz, who appeared Pro Se, alleged that Respondent La Jolla Capital Corporation initiated a sale of Telephones de Argentina

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant JaninaKing 94-01843 NameofResDondents Prudential Securities, Inc. Anthony Black CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 18, 1994, Claimant Janina King, who appeared Pro Se, alleged that Respondents Prudential Securities, Hoc. ("PSI") and Anthony Black ("Black") purchase

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * Name of Claimant Steve Cornell 94-01842 Name of Respondents Gerald M. Giffin First American Securities, Inc. Calton & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 17, 1994, Claimant Steve Cornell ("Claimant"), who appeared Pro Se, alleged that Respondents First America