N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter G. Russo 94-00897 NanjeofResDondent Bear Steams & Company For Claimant Peter G. Russo ("Claimant") appeared Charles F. Brennan, Esq., a sole practitioner located in Garden City, New York. For Respondent Bear Steams & Company ("Respondent") appeared Daniel S. Taub, Esq. of Bear Stearns & Company. CASE INFORMATION S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS *> In the Matter of the Arbitration Between Name of Claimant Jerry C. Lindsey 94-00634 Name of Respondent Edward D. Jones & Co. REPRESENTATION For Claimant: Jerry C. Lindsey ("Lindsey") appeared pro se. For Respondent: Edward D. Jones & Co. ("Jones") was represented by Cynthia A. Doria, Esq. of Edward D. Jones & Co., Maryland Heights, Missouri. CASE INFORMATION Statement o

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Laura S.Novosad and 01-02965 Denver, Colorado Name of Respondents Rocky A. Ghoneim, Block Trading, Inc., Protrader Securities Corporation f/k/a Cornerstone Securities Corporation, Insight Securities & Trading, Inc., Bryan C. Babcock, and Joseph P. Galichia REPRESENT ATTON OF PARTIES Laura A. Novosad ("Claimant") was represented b

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis Goldman, and Sylvia Goldman, Claimants, v. No. 94-00615 Stifel, Nicolaus & Co., Inc., Advest, Inc., Rowland, Simon & Co., and Newhard Cook & Co., Inc.. Respondents. REPRESENTATION OF PARTIES Louis Goldman and Sylvia Goldman ("Claimants") were initially represented by Bruce I. Garfield of Investors Arbitration Services, Inc,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between « Name of Claimant Theodore H. Lutz 94-00613 Name of Responripnts Smith Barney Shearson, Inc. (n/k/a Smith Barney, Inc.) Joseph Lonski PEPRPSENTATIQN Claimant Theodore H. Lutz ("Claimant") was represented by Lawrence R. Gelber, Esq. of the law firm of Beigel Schy Lasky Rifkind Goldberg Fertik & Gelber, New York, New York. Respondent

NASD Arbitration No. 94-01267 N.A.S.D. AWARD NATIONAL ASSOCIATION QF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (s) James George Name of Respondent la) Steven Bader REPRESENTATION For Claimant: Gordon C. Young, Esq., Keesal, Young & Logan, San Francisco, California 7or Respondent : Mo Appearance By Gteven Bader CASE INFORMATION Statement of Claim filed: March 31, 1994 Claimant's Submiss

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between e nf Claimant Louis V. Albini, Jr. Case No. 94-01262 Name of Respondent Doraenick Schina Philadelphia Investors, Ltd. Claimant, Louis V. Albini, Jr. ("Albini*): pro-se. Respondent, Philadelphia Investors, Ltd: ("PEL"): Clarence Z. Wuits, Corporate Representative. Respondent, Domenick M. Schina ("Schina"): pro-se. CASE INFORMATION Statem

.V.A.5.Z). AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Halm Zion NASD Arbitrarior No. 94-1258 Name of Respondent(s) Olde Discount Corporation REPRESENTATION For Claimant: Irving Pfeffer, Esq., San Francisco, CA For Respondent: Ina Otto, Esq., Detroit, MI CASE INFORMATION Statement of Claim filed: April 4, 1994 Claimant's Submission Agreement signed: March 9, 1994

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Scott L. Mathis 94-01249 Name of Respondent Alex Brown & Sons Incorporated Robert Oram REPRESENTATION For Claimant: M. David Hyman, Esq. , Ho-Ho-Kus, New Jersey. For Respondents: Nancy Palmer, Esq. of Alex Brown & Sons Incorporated, Baltimore, Maryland. CASE INFORMATION Statement of Claim filed: April 4, 1994. C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edith R. Streubert 94-01243 e ff Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1994, Claimant Edith Streubert, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc., sold her ten shares