N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward H. & Carolyn L. Magin 94-00690 Name of Respondents Smith Barney Harris Upham & Co., Inc. Sandra J. Bender REPRESENTATION Claimants Edward H. Magin and Carolyn L. Magin ("the Magins") were represented at the hearing by Ted Levine, Esq. of Somerville, New Jersey. Respondent Smith Barney Harris Upham & Co., Inc. ("Smit

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant J. Edward Lucas, in and 01-02951 Phoenix, Arizona Name of Respondents WestAmerica Investment Group Scott D. Schenck John M. Gersten William F. Groszkruger Paula M. Lafon Steven A. Rothstein and Robert H. Daskal REPRESENTATION OF PARTIES J. Edward Lucas, HI ("Claimant") was represented by Frank Lewis, Esq., Begam Lewis Marks & Wolfe

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between James H. Sturgeon and Rita M. Sturgeon, Claimants, v. NASD No. 94-679 Loren B. Kayfetz, Personal Financial Consultants Securities Corporation and Personal Financial Consultants, Inc., Respondents. Representation For Claimants: Reed Bement, Esq., San Francisco, California For Respondents: Douglas Martin, Esq., San Francisco, California Case Infor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant John D. Coons NASD Arbitration v. No. 94-00676 Name of Respondents H.J. Meyers & Co., Brian Donovan and Adam Merrifield REPRESENTATION For Claimant: Pro Se For Respondents: Robert A. Uhl, Esq., Los Angeles, California CASE INFORMATION Statement of Claim filed: February 24,1994 Claimant's Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. NASD Arbitration No.94-00672 Name of Respondent Daniel C. Corby, Jr. REPRESENTATION For Claimant: David P. Restaino, Esq., Dean Witter Reynolds, Inc., San Francisco, California For Respondent: Richard P. Lentini, Esq., Ryan Swanson & Cleveland, Seattle, Washington CASE INFORMATION St

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fred M. Todaro 94-00670 Name of Respondents F.N. Wolf & Co., Inc. (Bankruptcy) Michael Euripedes CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23, 1994, Claimant Fred M. Todaro ("Claimant"), who appeared Pro Se, alleged that Respondents F.N. Wolf & Co., Inc. ("F.N. Wolf"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gene J. Quirini 94-00669 Name of Respondents Greenway Capital Coiporation Gerald McNeil CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on February 23, 1994, Claimant Gene Quirini, who appeared Pro Se, alleged that Respondent Gerald McNeil, through his firm Greenway Capital Corp. used

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Wallace F. and Phebe E. Smith, Claimants, -and- No. 94-0664 Prudential Securities Incorporated, Douglas Landgraf, Respondent. Ry.PKF.SF.NrTATTOM OF PARTTFS The Claimants, Wallace F. and Phebe E. Smith ("Claimants") were represented by Richard Shevits, Esq., of Cohen & Malad P.C. located in Indianapolis, Indiana. The Respondent, Prudential

N.A.S.D. ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NajneofCIaimants Otis R. Reynolds; Otis R. Reynolds IRA; Hazel T. Reynolds IRA; Otis R. Reynolds Custodian FBO Teresa E. Reynolds; Otis R. Reynolds Custodian FBO Benjamin David Reynolds 94-00663 Name of Respondents First of Michigan Corporation; Michael Sobol REPRESENTATION For Claimants: Otis R. Reynolds, Otis R. Reynolds IRA, Hazel T.

tEC-06-1995 16=52 FROM TO 1212B5B4141 P.02/10 N.A.a.D. AHMB MAT1UNAL ASSOCIATION DP SSCUKlTlgfc! M&LgRS »f Paul Donahue & Donald Donahue '' 94-00658 Westohka Investments, tnc. REPRESENTATION OF PARTIES Claimants, Paul Donahue & Donald Donahue {"Claimants' 1 } were represented at Che hearing by Daniel D. Hill, Esq. of Popham Haik Scnriobrich &. Kaufman, Ltd, Minneapolis, Minnesota. Respondent, Westonka Investments, Inc. {"Westonka") w