N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bernard J. Strassberg 93-05099 Name of Respondents David Schneider M. Rimson & Co., Inc. Moe Rimson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 10,1993, Claimant Bernard J. Strassberg, who appeared Pro Se, alleged that Respondents M. Rimson & Co., Inc., Moe Rimson

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Njune of Claimants Edilio Gennari; Federico Gennari; and Irene Gennari 93-05096 Comerica Investment Service, Inc. REPRESENTATION For Claimants: Claimants Edilio Gennari, Federico Gennari and Irene Gennari were represented by John F. Chambers, Esq. of Chambers Steiner Mazur Omstein & Amlin, located in Detroit, Michigan. For Respondent: Comerica

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert L. Secrist 93-05122 Name of Respondents Peter M. Harrington Harrington Securities Corporation REPRESENTATION For Claimant Robert L. Secrist appeared Michael A. Brady, Esq., Hagerty & Brady, Buffalo, New York. For Respondents Harrington Securities Corporation ("Harrington Securities") and Peter M. Harrington ("Har

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Richard D. Brown and Elizabeth H. Brown 93-5155 Names of Respondents B.C. Ziegler & Co. and Curt Mahnke REPRESENTATION Claimant Richard D. Brown ("Brown") appeared at the hearing on behalf of himself and his wife Elizabeth H. Brown. Respondents B.C. Ziegler & Co. ("Ziegler") and Curt Mahnke ("Mahnke") were represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stuart Elkins 93-05150 Name of Respondents Sbearson Lehman Brothers. Inc. n/k/a Smith Barney, Inc. Rod Garner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 14, 1993, Claimant Stuart Elkins, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, Inc. n/k/a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sidi Stemfeld 93-05147 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant Sidi Sternfeld ("Claimant") appeared David B. Wasserman, Esq., of the law firm of Wasserman & Schachman, located in Bloomfield, New Jersey. For Respondent Shearson Lehman Brothers, Inc. ("Respondent") appeared Ann Parry, Esq

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hortense Nicholson 93-05145 Name of Respondent Dean Witter Reynolds Inc. George Knight » REPRESENTATION For Claimant Hortense Nicholson ("Claimant") appeared John J. Sheehy, Esq. of the law firm Sheehy & Sheehy, Jersey City, New Jersey. For Respondents Dean Witter Reynolds, Inc. ("Dean Witter") and George Knight ("Knigh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David M. Parks Case No. 93-05144 vs. Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION For Claimant: Steven D. Irwui, Esq., Markel, Schafer & Means, P.C., 1120 Grant Street, Pittsburgh, PA, 15219 For Respondent: Barry J. Shulock, Esq., Reed Smith Shaw & McClay, 435 Sixth Avenue, Pittsburgh, PA, 15219

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name pjf Claimants Milton and Lucille Monette NASD Arbitration v. No. 93-05141 Name of Respondents Titan/Value Equities Group, Inc. and Dan R. Dever For Claimants: Michael Paule, Investors Arbitration Services, Inc., Woodland Hills, California For Respondents: Donald P. Wagner, Esq., Wagner & Lichman, Irvine, California CASE I

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-02854 Robert Hamby Bobbie Hamby Names of the Respondents Hearing Site: Atlanta, Georgia D.E. Frey & Company, Inc. William Piontek REPRESENTATION OF PARTIES Robert Hamby and Bobbie Hamby, hereinafter collectively referred to as "Claimants," appeared pro se. For Respondent D. E. Frey & Company, Inc. ("Frey"): Larry D. Hayden, Larry D. Hayden & A