Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Maria Roberson Wierzel Names of the Respondents Prudential Securities Incorporated Bret Tuckman Case Number: 01-02850 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Maria Roberson Wierzel, hereinafter referred to as "Claimant': Delmer C. Gowing III, Esq., Delray Beach, Florida until his withdrawal as counsel on or abou

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Matilde E. Hicks and 93-05158 Name of Respondent Dickinson & Co. REPRESENTATION OF PARTIES Matilde E. Hicks ("Claimant") was represented by Bruce Pearson, Fargo, North Dakota. Dickinson & Co. ("Respondent") was represented by David C. Lundsgaard, Esq., Dorsey & Whitney, Minneapolis, Minnesota. CASE INFORMATION The Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Vincent F. Buttigieg and Mary S. Buttigieg 93-05156 Name of Respondents Roney & Co.; Derrell A. Saykally, Jr. REPRESENTATION For Claimants: Vincent F. Buttigieg and Mary S. Buttigieg ("Buttigieg") were represented by Mark Qukm, Esq. of the Law Office of Dennis Krolczyk, P.C., located in Manistee, Michigan. For Respondents

NASD Arbitration No. 93-5227 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of CIaimant(s> Theresa A. Smith Name of Respondents) Gruntal & Co., Incorporated and Gregory LeSavoy REPRESENTATION For Claimant: Stewart H. Foreman, Esq., Griffinger, Freed, Heinemann, Cook & Foreman, San Francisco, CA For Respondent: Donald N. Cohen, Esq., Assistant General Counsel, Gruntal & Co., New

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Denes 93-05224 Name of Respondents Dean Witter Reynolds, Inc.; James F. Mooney REPRESENTATION For Claimant: John Denes ("Denes") was represented by James Schuster, Esq. of Southfield, Michigan. For Respondents: Dean Witter Reynolds, Inc. ("Dean Witter") and James F. Mooney ("Mooney") were represented by Mark R. Wer

NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of CJaimaqt Allen E.Ross v. Name of Respondent Prudential Securities, Inc. NASD Arbitration No. 94-01967 REPRESENTATION For Claimant: For Respondent: Christopher Olmstead, Esq. Lovretovich & Karen Woodland Hills, CA Martin Hunger Prudential Securities, Inc. New York, New York CASE INFORMATION Statement of Claim fi

N.A.S.D. AWARD * •NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert B. Block 93-05222 Name of Respondents A.S. Goldmen & Co. Scott Belton REPRESENTATION Claimant Robert B. Block, Esq. ("Claimant") of New York City, New York appeared pro se. For Respondents A.S. Goldmen & Co. ("Goldmen") and Scott Belton ("Belton") appeared Carole R. Bernstein, Esq. of Bachner, Tally, Plevoy an

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name nf Claimant Adeline D. Grossman 93-05217 Dickinson & Company Warren H. Hamm mr.PRP.SF.NTATTON OF PARTTFS Adeline D, Grossman ("Claimant") was represented by John S. Lutz, Esq. and Otto K. Hilbert, n, Esq., LeBoeuf, Lamb, Leiby & MacRae, Denver, Colorado. Dickinson & Company and Warren H. Hamm ("Respondents") were represented by David A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gerald and Louise Gentile 93-05213 NameofRgsjxHidenlg R.B Webster Investments, Inc. Warren S. Green REPRESENTATION Claimants Gerald and Louise Gentile ("Claimants") appeared pro se. Respondent R.B. Webster Investments, Inc. ("R. B. Webster") did not enter an appearance in this matter. Respondent Warren S. Green ("Green

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Theodore Roy Rice NASD Arbitration No. 93-05212 v. Name or Respondent Prudential Securities, Inc. REPRESENTATION For Claimant: Steven M. Green, Esq., San Diego, California For Respondent: Terry A. Ross, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMATION Statement of Claim filed: December