NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. and 94-01561 Name of Respondent CounterClaimant and Third Party Claimant Matthew Hyde Third Party Respondents Thomas G. Stuhlsatz Thomas Owens REPRESENTATION OF PARTIES Prudential Securities, Inc. ("Claimant"); Thomas G. Stuhlsatz ("Third Party Respondent Stuhlsatz"); and Thomas Owens (

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Hariand W. Farrell and Margaret M. Parrel I, Trustees of the Farrell Family Trust, Claimants, v. NASD No. 94-1551 Southern California Securities, Inc. and Robert Corey, Respondents. /representation For Claimant: Hariand Farrell - pro se For Respondent Southern California Securities: pro se, Los Angeles, CA For Respondent Robert Corey. Paul Hitte

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS * In the Matter of the Arbitration Between Name of Claimant Mohammed Mohin Rahman 94-01545 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 25, 1994, Claimant Mohammed Rahman, appearing Pro Se, alleged that Respondent Charles Schwab & Co. Inc.. failed in their duty to open an account

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Larry A. Herman 94-01542 Name of Respondents James Wilson Bullard, Jr. Kevin Patrick Coughlin James W. Bullard, Jr., Inc. REPRESENTATION Claimant Larry A. Herman ("Claimant") represented himself. Respondent Kevin Patrick Coughlin ("Coughlin") was represented at the hearing by Jeffrey Plotkin, Attorney at Law, New York,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant David L. Gardner and 94-01606 Name of Respondent Deborah Christine Bernot Peter Steven Frontiero v Joel M. Triemstra FN Investment Center John Francis LaSalle REPRESENTATION OF PARTIES David L. Gardner ("Claimant") was represented by Mark E. Maddox, Esq., Coons, Maddox & Koeller, Indianapolis, Indiana. Deb

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Edward Renzelli 94-01604 Name of Respondents) Donald & Co., Securities John Pappas Paul James Pongetti For Claimant, Edward Renzelli ("Renzelli"): Nelson D. Blank, Esq., of Trenam, Simmons, Kemker, Scharf, et al., Tampa, Fl. For Respondents, Donald & Co. Securities ("Donald & Co. "), John Pappas ("Pappas"), and Paul

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Sylvan B. Malis and Hideko E. Malis, Joint Tenants and Sylvan B. Malis and Hideko E. Malis, Co-Trustees of Coast Mobilephone Service Defined Benefit Plan, Claimants, v. NASD No. 94-01599 Titan/Value Equities Group, Inc., Successor- In-Interest to Titan Capital Corporation, Inc.; Robert H. Osur, dba Pension Investment Consulting Group, Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Grant R. Eiam 94-01594 Name qf Respondents Toluca Pacific Securities Corp. DanKatz Peter Blowitz CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1994, CUunxnt Grant R. Elam ("Claimant"), who appeared Pro Se, alleged that Respondent Toluca Pacific Securities Corporation ("TPS"), t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Equistar L.P. Equistar Offshore Lawrence Group A.F. Bruan 94-01590 Name of Respondents M. Rimson & Co., Inc. Moshe Rimson Mitch Aguirre For Claimants Equistar L.P. ("Onshore"), Equistar Offshore ("Offshore"), A.F. Bruan ("Bruan"), and Lawrence Group ("Lawrence") appeared Michael F. Bachner, Esq. of the Law Offi

SENT BY: 2-22-96 ;12:02PM ;NASD ARBITRATION DPT-» ;# 6/13 NLA.SJX AWARD NAJ1QNAL ASSOCIATION .OF SPr^rTTKSnPAI In the'matter of the Arbitration Between JayneE. Simmons U^. Bancorp Sucoeswr bi Interwt To U< 5< Howard Muc^ett For Claimant: Sandra Stanley, Esq., Euzdo, California For Respondents: Nkk C. Geannacapulos, Esq., and Martha Michael Gates, Esq., Sqrfmh, Shaw, Fairweather & Geraldson, San Francisco and Sarramnito, California CASE IN