N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Elden Farm Ivan and Lellah Harris Dean Marler and Bernice Marler John and Gwendolyn Wilson Edward Kobe and Norma Kobe Richard and Janice Moon Charles and Beatrice Baldridge Bill and Mary Hart Sharon Kent Wes L. Clark Bernadeen Dowd and Barbara Mahoney Denzil and Traci Rogers Paul and Susan Paduano

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Jack & Irene March-Davison vs. NASD Arbitration No.94-01353 Name of Respondent Great American Securities, Inc. Bruce Bartholomew Willis Boyd REPRESENTATION For Claimant: Noel A. Obiora, Esq., Beverly Hills, California For Respondent Willis Boyd: Robert J. Spitz, Esq., Ontario, California For Respondent Great A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS » In the Matter of the Arbitration Between NameofCIaimantfs) Ernest & Betty LeDoulx 94-01352 Name of Respondentfsi Shearson Lehman Brothers, Inc. n/k/a Smith Barney Inc. Shawn P. Kelly Mark Willis CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on April 11, 1994, Claimants Ernest and Betty LeDoulx, who appeared Pro Se, alleged that R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Pauline "Scotty" Neilson NASD Arbitration No.94-01345 Name of Respondents Van Kasper & Company F. Van Kasper Thomas Bedford RFPRFSENTATION For Claimant: Beth EfAspedon, Esq., and J. Brittain Habeggar, Esq. of Fitzgerald Abbott & Beardsley - Oakland, California For Respondents: Peter J. Boutin, Esq., Julie L.Taylor, Esq. and Kelly

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Robert O. Johnson 94-01335 Name of Resoondent(s) Theodore L. White, Jr. CASE SUMMARY » In a claim filed with the National Association of Securities Dealers, Inc. on April 8, 1994, Claimant Robert O. Johnson, who appeared Pro Se, alleged that Respondent Theodore L. White, Jr. of Merrill Lynch, Pierce, Fenner and Smith, In

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James E. Sweeney & Carol Sweeney 94-01393 Name of Respondents John V. Adams, Jr. L.C. Wegard & Co., Inc. REPRESENTATION Claimants James E. Sweeney and Carol Sweeney ("Claimants") appeared pro se. For Respondents John V. Adams, Jr. ("Adams") and L.C. Wegard & Co., Inc. ("L.C. Wegard") appeared Marc J. Ross, Esq. of the law

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Claude L. Huey 94-01386 Name of Respondents Chatfield Dean & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 12', 1594, Claimant Claude L. Huey, who appeared Pro Se, alleged that he was coerced into an investment in Microenergy, Inc. without regard to risk potential or personal investme

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edna C. Price 94-01384 Name of Respondents J.J.B. Milliard, W.L. Lyons, Inc. Stephen L. Grossman William B. Conner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 11, 1994, Claimant Edna C. Price, who appeare^tPro Se, stated that she is an 84 year old retired teacher, and a w

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clainiant(s) Charles S. Alston 94-01372 Name of Respondents) Prudential Securities Inc Peter Siegel REPRESENTATION For Claimant Charles S. Alston: Billy R. Smith, Esq., Atlanta, GA. For Respondents Prudential Securities, Inc. and Peter Siegel: V. Michael Arias, Esq., in-house counsel at Prudential Securities, Inc. , Boca

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter, of the Arbitration Between Name of Cl^jmartt NASD Arbitration ELIZABETH J.MOORE No. 94-01318 v. Name of Respondents DEAN WITTER REYNOLDS, INC. and ROBERT WILLIAM INBODY Representation For Claimant: Elizabeth Moore, Esq., Vista, California For Respondents: Tim VerDuin, Esq., of Dean Witter Reynolds, San Francisco, California Case Information Statement of Claim filed: Apri