N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Louis L. Pulcini and Carol A. Pulcini 94-01142 Name of Respondents Prudential Securities Inc. Edward Newraeyer Consolidated With In the Matter of Arbitration Between Name of Claimants James A. McDanel and Ruth Ann McDanel 94-01147 of Respondents Prudential Securities Inc. Edward Newmeyer For Claimants Lo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Louis L. Pulcini and Carol A. Pulcini 94-01142 Name of Respondents Prudential Securities Inc. Edward Newmeyer Consolidated With In the Matter of Arbitration Between Name of Claimants James A. McDanel and Ruth Ann McDanel 94-01147 NameofResDondents Prudential Securities Inc. Edward Newmeyer For Claimants

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Robert P. Croley and Jane M. Croley 94-01097 Names of Respondents Quick and Reilly, Inc. Jay Kuhar For Claimants, Robert P. and Jane M. Croley ("The Croleys"): Ira C. Hatch,. Esq. of Ira C. Hatch, P. A., Ft. Lauderdale, Florida. For Respondents, Quick & Reilly, ("Q & R") and Jay Kuhar ("Kuhar"): Nicholas J. Chopey of Quic

CORRECTED N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Thomas B. Watte 94-01087 CoQner, Biggins ft Andenen, Inc. For Claimant, Thomas B. Watte, (*Wato"): Victor L. Chapman of Barrett, Chapman ft Ruta, Orlando, Florid*. For Respondent, Collner, Higgtoi ft Andcneo, loo. ("CHA"): Harry Christopher Ooplerud, Eaq of HonJgman, Miller Schwartz and Cohn, Tampa, Florida. CASK INFORMATION Statement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClainjajjJ Ana Rita Monteiro Tran 94-01086 Name of Respondent Kennedy, Cabot & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 22, 1994, Claimant Ana Rita Monteiro Tran, who appeared Pro Se, alleged that Respondent Kennedy Cabot and Company told her that 5,000 shares of SA Holdings

JU/-14-19SS 1U2B FROM TO 121285B4429 P. 02 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ., ^ fatheMMtef rfito Jobn Denes 94-01063 jSssuf£suuAst PrinaWebbtr IncocpOMUad For CUinunt; Aim Deo* ('Deo*') w«i npmeaaad by Riefami A. MINT, Esq. Sbemky, P.C.. tocMed la Btoomficld Hllli, Michigan. fos Rcvpoodcot! PfcinpWcbbflr loDOfponicd ("FnDBWobbcr/ vu tepecscoOKl by Ntncite I* Kotpi, Esq. «nd Andrew W. Mychriowych, Esq., of Hiliw

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rhea Bierman 94-01080 • Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Diana L. Read REPRESENTATION Claimant, Rhea Bierman was represented by Robert N. LeMay, Esq. of Kane, Russell, Coleman & Logan, P.C., Dallas, Texas. Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. was represented by Russ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02991 John V. Dvorak Names of the Respondents Hearing Site: Tampa, Florida Joseph Gunnar & Co., LLC Theodore Hiotis, Individually, and Correspondent Services Corporation Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John V. Dvorak, hereinafter referred to as "Claimant": James D. Keeney

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of (Claimants Robert C. and Sally A. Kiszewski 94-01077 Name of Respondents Charles Schwab & Company, Inc. Paul Meinville REPRESENTATION For Claimants Robert C. and Sally A. Kiszewski (hereinafter collectively referred to as "Claimants") appeared Robert M. Villarini, Esq. with the law firm Michalek, Villarini& Henry, Hamburg, New York.

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between IDS Financial Services, Inc. and Mary Larimer, Claimants, v. NASD No. 94-01076 Armen Harutunian, Respondent. Representation For Claimants: Gary Irwin, Esq. of IDS Financial, Services, Inc., (IDS) Minneapolis, Minnesota For Respondent: Pro se, Glendale, California Case Information Statement of Claim filed: March 18,1994 Claimant Mary