N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Norman A. Lajoie and Harriet Lajoie Case# vs. 93-04848 Name of Respondents Dean Witter Reynolds Inc. Declan Martin Maher REPRESENTATION For Claimants, Norman A. Lajoie and Harriet Lajoie ("Claimants"), Evan J. Carter, Esq., from the law firm of Kassler & Feuer, located in Boston, Massachusetts. For Respondents, Dean Wi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Harold Rice Patsy Rice fipe, of Respondents TriQuest Financial, Inc. GMI Securities, Inc. Thomas Kocherhans NASD Arbitration No. 93-04840 REPRESENTATION For Claimants: Richard C. Coxson, Esq., Spanish Fork, Utah For Respondents: TriQuest Financial, Inc. - Charles Whiting GMI Securities, Inc. - Gary L. Lea

Award NASD Dispute Resolution In the Matter of the Arbitration Between: c: 01-02840 Charles and Patricia Ropp nf thp- l^fgnnffftefrfg Hearing Sitpi* Philadelphia, PA Guardian Investor Services Corporation Princeton Equity Securities, Inc. Joan A. Brown Raymond M. Brown Park Avenue Securities, LLC RFPRFSFNTATTOM OF PAHTIF.S Claimants, Charles and Patricia Ropp ("Ropp"). hereinafter collectively referred to as "Claimants'*: Steven M. D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name^of Claimant Jon D. Krupa 93-04784 Name of Respondents Shearson Lehman Hutton, Inc.; and William Dolan REPRESENTATION For Claimant: Jon D. Krupa ("Krupa") was represented by Edward Earl Duke II, Esq. of Pierce Donovan Duke Mordell & Messano, located in Birmingham, Michigan. For Respondents: Shearson Lehman Hutton, Inc. ("Shearson") and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Peggy J. Moore 93-04781 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 18,1993, Claimant Peggy J. Moore, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc., through its registered representative,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between V Benjamin Kashkin, Andrew Klick and Mark Polios, Claimants, vs. Case # 93-04778 Robert Todd Financial Corp., Respondents. REPRESENTATION For Claimants, Benjamin Kashkin, Andrew Klick and Mark Polios, Morgan Bentley, Esq., Newark, N,J. The Respondent did not appear at the hearing. CASE BVFOR|V1ATION Claimants' Joint Statement of Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Galen Hayes & Diane Hayes 93-04770 Name of Respondents Nathan Lane Bill Calkins CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 16,1993, Claimants Galen & Diane Hayes, who appeared Pro Se, alleged that Respondents Nathan Lane ("Lane") and Bill Calkins ("Calkins") made mis

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Robert E. Mines, M.D., and William Jenkins, M.D. NASD Arbitration Individually and as Trustees #93-04762 For The Noni Oakland Pediatric Medical Group, Inc.. Pension Plan vs. Name of Respondent} Prudential Securities, Inc. Hugh Lenahan REPRESENTATION For Claimants: Janet Braver, Esq., Vogl & Meredith, San Fran

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant David R. Barber and 93-04759 Name of Respondents Gruntal&Co., Inc., John R. Eaton and Evan Taber REPRESENTATION OF PARTIES David R. Barber ("Claimant") was represented by William D. Nelson, Esq., Robinson, Waters, O'Dorisio & Rapson, Denver, Colorado. Gruntal & Co., Inc. ("Gruntal"), John R. Eaton ("Eaton") and Evan T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Mario and Jacqueline LoBasso Name ofRespondents) D.H. Blair & Company, Inc. Thomas Gallo PUBLIC 93-04751 For Claimants: Brian A. Carlis, Esq. of the law firm of Stark & Stark, Princeton, NJ. For Respondent: D.H. Blair & Co., Inc. ("Blair"): Justin Y. K. Chu, Esq. of D.H. Blair & Co., Inc. of New York, NY. Thomas