AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Trinity Investment Trust and 01-02817 Troy, Michigan Empire Financial Group, Inc. George Randy Cupples, and Robert E. Jansen REPRESENTATION OF PARTIES Trinity Investment Trust ("Claimant") was represented by Herb Friske, Trinity Investment Group. Empire Financial Group, Inc. ("Empire") and George Randy Cupples ("Cupples") were represented by William R. Rishoi, Esq

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Theodore Halligan Case Number 93-04439 Njun^fRffiDondente Piper Jaffray, Inc. Marvin Geisness REFRKJENTATIQN For Claimant Theodore Halligan ("claimant") appeared Kathleen M. O'Connell, Esq., with the law firm of Murphy & O'Connell, New York City, New York. For Respondents Piper Jaffray, Inc. (hereinafter "Piper") and Marvin Geisness (hereinafte

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between *_ • . . Name of Claimant Corporate Securities Group, Inc. 93-04437 Name of Respondent William John Vanderwerff • HFPRKSFNTAT1ON For Claimant, Corporate Securities Group, Inc. ("CSG"): Gregory Tendrich, Esq. of Corporate Securities Group, Inc., Boca Raton, Florida. For Respondent, William John Vanderwerff ("VanderwerfF): pro se. CAS

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Sheryl Bishop, Fred Woodrow, and Mark Lewis Claimants, v. No. 93-04434 Prudential Securities, Inc., and J. Stephen Stout Respondents. REPRESENTATION OF PARTIES Claimants Sheryl Bishop, Fred Woodrow, and Mark Lewis ("Lewis") was represented by Sheryl Bishop. Claimants Sheryl Bishop, Fred Woodrow, and Mark Lewis had been previously represe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Jacqueline Arundell 93-04431 Name of Rcspondent(s) A.G. Edwards & Sons, Inc. Robert O'Brien REPRESENTATION For Claimant: Jacqueline Arundell ("Claimant"), Linda B. Kenny, Esq. in Fair Haven, New Jersey. For Respondent: A.G. Edwards & Sons, Inc. ("Respondent"), M. Jane Matoesian, Esq., in-house Counsel in St. Louis, M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mark Balakhane 93-04429 Name of Respondents K. Aufhauser and Company, Inc. REPRESENTATION Claimant Mark Balakhane ("Claimant") appeared pro se. For Respondent K. Aufhauser and Company, Inc. appeared R. Keith Aufhauser, President of K. Aufhauser and Company, Inc. CASE INFORMATION Statement of Claim filed: January 1, 199

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between KTamo r>f Hamilton Investments, Inc. 93-04427 of Respondent Sherman Waller REPRESENTATION OF PARTIES Claimant Hamilton Investments, Inc. ("Hamilton"} was represented at the hearing by Michael B. Elman, Esq., Chicago, Illinois. Respondent Sherman Waller ("Waller") was not present at the hearing. (See Other Issues). CASE INFORMATION S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold New 93-04416 Name of Respondent Thomas James Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 26, 1993, Claimant Harold New, who appeared Pro Se, alleged that Respondent Thomas James Associates, Inc., through its registered representative, Alex Arden, was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ruth Gordon Case No. 93-04412 Name of Respondent Josephthal, Lyon & Ross Inc. REPRESENTATION For Claimant, Ruth Gordon, ("Gordon"): Ronald W. Fraley, Esq. of Fraley & Fraley, P.A. of Tampa, Florida. For Respondent, Josephthal, Lyon & Ross Inc. ("Josephthal"): Robert E. Murphy, Esq., Corporate Counsel for Josephthal. CAS

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between PATRICIA ANDERSON, Claimant, v. NASD No. 93-4411 KEMPER SECURITIES, INC., DAN MURPHY, DOES 1 AND 2, Respondents. Representation For Claimant: Douglas Martin, Esq., San Francisco, California For Respondent: Renan Sugarman, Esq. of Kemper Securities, Chicago, Illinois Case Information Statement of Claim filed: October 20, 1993 Claimant's Submi