N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Yang-Ho Kim and In-Ho Kim 93-03895 Name of Respondents JosephthaJ, Lyon & Ross Inc. Frantz Lys Cajuste CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 24,1993, Claimants Yang-Ho Kim and In-Ho Kim, who appeared Pro Se, alleged that Respondent Frantz Lys Cajuste ("Cajuste"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bruce Zion 93-03872 Name of Respondents Rauscher, Pierce Refsnes, Inc. Hanover Sterling & Co., Ltd. Darren Shasho CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 27, 1993, Claimant Bruce Zion, through his counsel Howard S. Eilen, Esq., of Lehman & Eilen, Uniondale, N.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dorothy J. Baldwin 93-03866 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 27, 1993, Claimant Dorothy J. Baldwin ("Claimant"), through her representative, Jill Levi, Esq., of Feltman, Karesh, Major & Farbman, loc

NAS.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. Webb, Madeline B. Calkins-Webb. and Gary W. Sierk 93-03860 Johnston, Lemon & Co., Inc., Legg Mason Wood Walker, Inc., Moors ft Cabot, Inc., and Thomas J. Fox Oaittants William 1 Webb ("Webb"), Madeline B. Calkins-Webb ("Calkins-Webb-). and Gary W. Sierk ("Sierk") were represented at the hearing by Janet K. DeCosti Esq. of Washi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol B. Mann as Trustee of the C. Boetger Mann Family Trust and as Custodian for Alexander M. Mann, Claimant v. Higgins Capital Management, Inc. and Raymond L. Higgins, Respondents Case Number: 01-02779 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Jonathan A. Boynton, Esq. Post Kirby Noonan & Sweat, LLP San Diego, California For Respondents: G

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Michael Galeck NASD Arbitration No. #93-03859 Name of Cruttenden 2c Company Larry Butler REPRESENTATION For Claimant: Gary L. Gebler, Esq., Irvine, California For Respondents: John R. Loftus, Keesal, Young and Logan, Long Beach, California CASE INFORMATION Statement of Claim filed: September 20, 1993 Claimants' Submiss

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between James S. Kelly and Patricia A. Sullivan Claimants, v. NASD No. 93-3858 Prudential Bache Securities and Robert J. Shull, Respondents. Representation For Claimants: Jules Federman of Investors Rights Association, Santa Barbara, California For Respondents: E. Scott Douglas, Esq. of Keesal, Young & Logan, Long Beach, California Case Information Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. NASD Arbitration No. 93-03855 Name of Respondent Tatiana Galley REPRESENTATION For Claimant: G. Thomas Fleming HI, Esq., Jones, Bell, Simpson & Abbott, Los Angeles, California For Respondent: H Thomas Fehn, Esq., Fields, Fehn & Sherwin, Los Angeles, California CASE INFORMATION Statem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between r)f Claimants NASD Arbitration Steven and Charlene Snoop No. 93-03846 Hondo Electric, Inc. v. Name of Respondents Capital Analysts, Inc. Edward P. Williams REPRESENTATION For Claimants: Franklin Geerdes, Esq. - Atherton, Allen & Geerdes, Chula Vista, California For Respondents: Elizabeth A. Sellung, Esq. • Mungcr, Tolles & Olson, Los

. N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Excel International, Inc. © National Association of s, Inc. 1995 All Rights Reserved 93-03845 Names of Respondents Kevin Mahon Richard Guiilot Sheldon Kraft Eric Emanuel Emanuel & Co. REPRESENTATION For Excel Inteinational, Inc. ("Claimant") appeared Thomas J. Hanrahan, Esq., a sole practitione