Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald Michael Scott-Blair, Claimant v. Prudential Securities, Inc. and Alan Wise, Respondents Case Number: 01-02952 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Franklin Geerdes, Esq. Geerdes & Geerdes Escondido, California For Respondents: William M. Cassarini, Esq. Prudential Securities, Inc. New York, New York CASE INFORMATION S

N A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mame'oj^Claimants Robert B. and Jean C. Stewart 94-00718 Name of Respondents J.J.B. Milliard. W.L. Lyons Inc. Stephen L. Grossman CASE SUMMARY Fn a claim filed with the National Association of Securities Dealers, Inc. on February 25, 1994 Claimants Robert B. and Jean C. Stewart ("Claimants"), who appeared Pro Se, alleged that Respondents J.J.B.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Philip Mark Harrington 94-00717 NameofResDondent L. C. Wegard & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 25, 1994, Claimant Philip Mark Harrington, who appeared Pro Se, alleged that Respondent L.C. Wegard & Company, Inc., through its registered representative, Mark

N.A.S.p. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Mildred G. Klug, by Power of Attorney of her son, John Klug NASD Arbitration No. 94-00714 Name of Respondent(a} IDS Financial Services, Inc. Carol Kirchner REPRESENTATION For Claimant: Robert E. Martin, Esq., Portland, Oregon For Respondents: Donald McNeil, Jr., Esq., Popham, Haik, Schnobrich & Kaufman, LTD

N.A.S.D. AWARD NATIONAL ASSOCIATTON OF SECURITIES DEALERS Brooks St. John Smith, and Amy Ryden, Claimants, v. No. 94-00713 Peacock, Hislop, Staley & Given, Inc., and Derrick Doba, Respondents. REPRESENTATION OF PARTIES Claimants Brooks St. John Smith, and Amy Ryden("claimants") were represented by Terrance J. Flemming, Esq., of Lindquist fc Vennum, Minneapolis, Minnesota. Respondents Peacock, Hislop, Staley & Given, Inc., and Derrick

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 94-00709 Name of Respondent John Nathaniel REPRESENTATION Claimant Prudential Securities, Inc. ("PSI") was represented at the hearing by Christopher Freeze, Esq. of PSI of New York, New York. Respondent John Nathaniel ("Nathaniel") appeared at the hearing pro se. CASE INFORMATION The Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant^) John Valentine NASD Arbitration v. No. 94^X3708 of R Kidder, Peabody & Co., Inc., Ray Cyphers, Wes Clark, and Len Gabrielson REPRESENTATION For Claimant: Alexander H. Singleton and Peter A. MacLaren, Esq., Law Offices of Alexander Singleton, San Jose, California For Respondents: William H. Phelps, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Steve and Phyllis Brkovich 94-00704 Prudential Bache Securities, Inc. REPRESENTATION Claimants, Steve and Phyllis Brkovich appeared at the hearing pro se. Respondent, Prudential Bache Securities, Inc. was represented by Christopher M. Mone, Esq. of Prudential Securities, Inc., New York, New York. CASE INFORMATION The Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jon Eric Wallace 94-00701 Name of Respondents RAF Financial Corporation Charles Marion Stember CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 24, 1994, Claimant Jon Eric Wallace, who appeared Pro Se, alleged that Respondent Charles Marion Stember of the Respondent firm RA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Sidney P. Lifton; Carol Lifton; Tami Lifton; Lifton Electric BMP PP&T, Sidney P. Lifton Trustee 94-00694 Name of Respondents First of Michigan Corporation; Herman Schwartz REPRESENTATION For Claimants: Sidney P. Lifton, Carol Lifton, Tami Lifton and Sidney P. Lifton as Trustee of the Lifton Electric Emp PP&T were represented by Bruce E. Bal