N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert B. Gecker 93-05071 Name of Respondents Ron Combs CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 7, 1993, Claimant Robert B. Gecker, who appeared Pro Se, alleged that Respondent Ron Combs, while Chief Executive Officer at Portfolio Asset Management, Inc., wrote and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent The Principal/Eppler, Guerin & Turner 93-05070 Name of Respondent/Counter-Claimant Wayne A. Mclntosh Claimant Principal/Eppler, Guerin & Turner ("P/EGT" or "Claimant") was represented by Joel P. Hoxie, Esq. and Brian I. Campbell, Esq., of Snell & Wilmer, Phoenix, Arizona. Respondent Wayne A. Mclntosh ("Mclntosh"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dorothy A. DaPonte 93-05068 Name of Respondent Fidelity Investments CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 8, 1993, Claimant Dorothy A. DaPonte, who appeared Pro Se, alleged that Respondent Fidelity Investments, through its broker, Tammy Eikenhorst, failed to follow h

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frederick W. Wall 93-05067 Name of Respondents Thomas F. White & Co., Inc. Lombard Institutional Brokerage White Discount Securities Thomas F. White Robert Angle Linda Wong Anne Huang Yvette DeLozada CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 8, 1993,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Maia Wojciechowska 93-05066 Name of Respondents Martin Rokeach The Stamford Company. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 7, 1993, Claimant Mam Wojciechowska, who appeared Pro Se, alleged that Respondent Martin Rokeach of the Respondent firm The Stamford Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Ralph A. and Phyllis A. Ferguson JTWROS 93-05065 Name of Respondent(s) Herman Epstein William Brito Investors Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 7, 1993, Claimants Ralph A. and Phyllis A. Ferguson, who appeared Pro Se, alleged that Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant James A. Brinton, M.D. v. NASD Arbitration No. 93-05056 Name of Respondents Ronald P. Thon and Titan Value Equities Group, Inc. For Claimant: Michael A. Oswald, Esq., Oswald & Yap Irvine, California For Respondents: Fredrick A. Rafeedie, Esq., Jones, Bell, Simpson & Abbott, Los Angeles, California CASE INFORMA

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant/CounterRespondent Case Number: 01-02862 Prudential Securities, Inc. Name of the Respondent/CounterClaimant Hearing Site: Chicago, Illinois Michael E. Egan REPRESENTATION OF PARTIES Claimant/CounterRespondent Prudential Securities, Inc. ("Prudential") was represented by Steven P. Gomberg, Esq. of the firm Rooks, Pitts, and Poust located in Chicago, Illi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Samuei C. Harris and Beth K. Harris, Trustees/ Harris Family Trust Claimants, v. No. 93-05055 Craig Hallum, Inc., Bear Stearns Securities Corp., and Marc Kozberg Respondents. REPRESENTATION QF^ARTIES Claimants Samuel C. Harris and Beth K. Harris, Trustees/Harris Family Trust ("Claimants") were represented by Sandra K. Kensy, Esq., of Frank R. Berman, P.A., Minneapolis, Minneso

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeffery S. Woodford Case No. 93-05053 Name of Respondent Raymond, James & Associates, Inc. REPRESENTATION For Claimant, Jeffery S. Woodford ("Woodford"): Ronald W. Fraley, Esq. of Fraley & Fraley, P.A., Tampa, Florida. For Respondent, Raymond James & Associates, Inc. ("RJA"): Michael R. Alford, Esq. of RJA, Tampa, Florida.