N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between « _ Name of Claimant Lisa May Pechnik 94-00540 Name 9f Respondents Charles Schwab & Company, Inc. Deborah E. Bell Susan Agostini For Claimant Lisa M. Pechnik ("Claimant") appeared Richard M. Sasso, Esq. of Schiller & Sasso located in Warren, New Jersey. For Respondents Charles Schwab & Co., Inc., Deborah Bell and Susan Agostini ("Re

N.A.S.O. AWARD NATIONAL ASSOCIATION QP SECURITIES DEALERS. INC. In the matter of f.he Arbitration Betv/een Name of Claimantfs) Wendy Kruthers, Trustee of the Gertrude B. William Trust NASD Arbitration No. 94-00539 Name of Respondent: I a) Crowell, Weedon & Co. Ralph Ames, III REPRESENTATION For Claimant: Dennis G. Merenbach, Esq., Santa Barbara, California For Respondents: John A. Blue, Esq. and Kevin P. Farmer, Esq., Adams, Duqu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anita Pescow 94-00527 Name of Respondent Olde Discount Corporation REPRESENTATION Claimant, Anita Pescow ("Claimant"), appeared pro se. For Respondent, Olde Discount Corporation ("Respondent"), Dave Doyle. Esq.. in-house counsel. CASE INFORMATION Statement of Claim filed: February 14, 1994 Claimant's Submission Agre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tl.e Matter of the Arbitration Between Name of Claimant Lea Lerman 94-00523 Name of Respondent Lew Lieberbaum & Co., Inc. REPRESENTATION For Claimant Lea Lerman ("Lerman") appeared LLoyd S. Clareman, Esq., located in New York, New York. For Respondent Lew Lieberbaum & Co., Inc., ("Lieberbaum") appeared Larry Sandor, Esq., of Lieberbaum located in Garden City, New York. CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Joanne A. DuPont, Claimant, v. Franklin-Lord, Inc., and Brian Lloyd Gibbons, Respondents and No. 94-00508 Franklin-Lord, Inc. Crossclaimant v. Brian Lloyd Gibbons, Crossrespondent REPRESENTATION OP PARTIES Claimant Joanne A. Dupont ("Claimant") was represented by Frank Lewis, Esq., of Begam, Lewis, Marks, Wolfe & Dasse, Phoenix, Arizona. Respondent Franklin-Lor

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dam Rauscher Incorporated n/k/a RBC Data Rauscher Inc. and 01-02941 Phoenix, Arizona Name of Respondent Terry Joe Vail REPRESENTATION OF PARTIES Dain Rauscher Incorporated n/k/a RBC Dam Rauscher Inc. ("Claimant") was represented by Shelly L. Parnell, Esq., Dorsey & Whitney LLP, Minneapolis, Minnesota. Terry Joe Vail ("Respondent") appeared pro s

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Karen F. Schwartz, Claimant, v. 94-00503 Smith Barney Shearson, Inc., n/k/a Smith Barney, Inc., Respondent. REPRESENTATION OF PARTIES Claimant Karen F. Schwartz ("Claimant") was represented by David P. Getting, Esq., of Curtis, Getting, Heinz, Garrett & Soule, P.C., St. Louis, Missouri. Respondent Smith Barney Shearson, Inc., n/k/a Smith Bar

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS James Wages, and Carol Wages, Claimants, v. No. 94-00499 Smith Barney Harris Upham & Co., n/k/a Smith Barney, Inc. Dennis Melton, and Thomas Jeffrey, Respondents. REPRESENTATION OF PARTIES Claimants James Wages and Carol Wages ("Claimants") were represented by Martin R. Galbut, Esq., of Galbut & Associates, Phoenix, Ari zona. Until March 21, 1995, Respondents Smith Bar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Oaimant Robert J. Petrlik 94-00309 Prudential Securities, Inc. RFJ^RFffENTATION For Claimant Robert J. Petrlik ("Claimant"): Michael R. Murphy, Attorney at Law, Washington, D.C. For Respondent PrudentiaLSecurities, Inc.. ("Respondent"): Gary Klein, Vice President and Associate General Counsel for Prudential Securities, Inc. , New York,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS William Harrison Norton, Claimant, v. No. 94-00304 Smith Barney Shearson, Inc. file/a Shearson, Lehman Button, and Rick Stern Respondents. REPRESENTATION OF PARTIES Claimant William Harrison Norton ("Claimant") appeared on his own behalf Respondents Smith Barney Shearson and Rick Stern ("Respondents") were represented by Ann Parry, Esq., of Smith Barney Shearson, New York, New Yor