N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Charles Sims, Trustee For Edwin Oviatt, II vs. NASDR Arbitration No.94-01663 Name of Respondent S.J, Capital Incorporated G. Stephen Jizmagian REPRESENTATION For Claimant: Patrick Baldwin, Esq., Menlo Park, California For Respondents: William Lukens, Esq., and Thomas F. Chan, Esq., Lukens and Drummond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimant Thomas Roberts Award No. vs. 94-01652 NamejjfResDondent Cantor Fitzgerald, G.P. REPRESENTATION For Claimant, Thomas Roberts ("Roberts"), Stewart Levy, Esq. from the firm of Eisenberg, Tanchum & Levy, located in New York, New York. For Respondent, Cantor Fitzgerald, L.P. ("CF"), Michael Lampert, Esq. from the firm of Saul, Ewi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Jerry Spiegel and Emily Spiegel Foundation, et. ai. 94-01651 Name of Respondents) Dean Witter Reynolds Inc. For Claimants, Jerry Spiegel & Emily Spiegel Family Foundation; Emily Spiegel TTEE 63 Trust FBO Pamela Spiegel U/A/D 5/1/63; Lise Spiegel 1963 T 5/1/63; Emily Spiegel TTEE 63; Trust FBO Carrie Rosenblatt U/A/D 5/1/63; Emil

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Dennis N. Christensen, Claimant, v. No. 94-01650 Shearson Lehman Brothers, Inc., n/k/a Smith Barney, Inc., and Jamie Constantino, Respondents. REPRESENTATION OF PARTIES Claimant Dennis N. Christensen ("Claimant") was represented by Dorothy K. Goodman, Esq., of Barnhill & Goodman P.C., Des Moins, Iowa, and Gale E. Boliver, Esq., of the Boliver Law Firm, Marshalltown, Iowa. Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Fannie Monetti Olga Monetti 94-01536 Name of Respondent(s) National Financial Services Corp. Philip Hitman Steven Hitman Alan Beutler REPRESENTATION For Claimants Olga Monetti and Fannie Monetti ("Claimants"), appeared Stuart C. Goldberg, Esq. of the firm Deutsch & Lipner located in Garden City, New York. For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Elizabeth I. Schlagel 94-01525 rjame of ResgondefitjYi Betty Cinq-Mars CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 25, 1994, Claimant Elizabeth I. Schlagel, who appeared Pro Se, alleged that Respondent Betty Cinq-Mars sold her an unsuitable investment. Claimant further alle

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between « Name of Claimant(s) Richard L. Ming James L. Ming, Jr. NASD Arbitration No. 94-01513 Name of Respondent(s) A.G. Edwards & Sons, Inc. John M. Rogers REPRESENTATION For Claimants: Bruce R. Safran, Esq., Tarzana, California For Respondents: Clay L. Grumke, Esq., A.G. Edwards & Sons, Inc., St . Louis , Missouri INFORMATI

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dennis R. Rose and 94-01510 Mami». Addison Securities, Inc. Teresa McCroskey TtF.PRF.SFNTATTON OV PARTIES Dennis R. Rose ("Claimant") appeared pro se. Addison Securities, Inc. and Teresa McCroskey ("Respondents") were represented by J. Ralph Ewing, Addison Securities, Inc. TASTE TNFnRMATTfW The Statement of Claim was filed on or about

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Joseph Bonarigo and 94-01527 Gruntal & Company, Incorporated and David Geschke REPRESENTATION OF PARTIES Claimant, Joseph Bonarigo appeared pro se. Respondents, Gruntal & Company, Incorporated and David Geschke were represented by Harry D. Frisch, Esq. of Gruntal & Company, Incorporated located in New York, New York. CASE INFORMATION The

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Omar Ike Michaels (Claimant) v. Weston Capital Markets, Inc., Weston Financial Services, Inc., Weston Corporate Finance, Inc., and John Liegey (Respondents) Case Number: 01-03036 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant Omar Ike Michaels ("Michaels") hereinafter referred to as "Claimant"