N.A.S.D. AWARD RECEIVED NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AUK 1 " 1396 In the matter of the Arbitration Between NBMBHKAKSti fta Name of Claimant Lucy B. Doheny v. Name of Respondents Prudential Securities Inc., Edward E. Tullis, Jr. and Bruce Montgomery NASD Arbitration No. 93-04293 For Claimant: For Respondents: REPRESENTATION J. Leo Federman Investors Rights Association Santa Barbara, California and D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Deborah West 93-04289 Name of Respondents Shearson Lehman Brothers, Inc. Curtis Pope CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 18,1993, Claimant Deborah West, through her representative, Thomas Donohue, Esq., alleged that Respondents Shearson Lehman Brothers, Inc. an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs') Robert S.L. Warendorf 93-04287 Name of Respondent^) Bernard B. Beat M.R. Beal & Company MRB Securities Corporation REPRESENTATION For Claimant Robert Warendorf ("Claimant") appeared Bonnie P. Josephs, Esq., located in New York, New York. For Respondent M.R. Beal & Co, MRB Securities Corporation and Bernard Beal ("Re

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant National Financial Services Corporation Name of Respondents Pacific Brokerage Services, Inc. 93-04282 Midland Walwyn Capital Corporation Fahnestock & Co., Inc. Cromwell Weedon & Co. Edward D. Jones & Co. Shearson Lehman Brothers, Inc. Cresvale International, Inc. Smith Barney Harris Upham & Co., Inc. Regional Clearing Corp. U.S. Clearing Corp. C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Wilshire Company William J. Spivock Visit Taveethamcharoen 93-04279 Name of Respondents Summit Investment Corporation Phillip T. Huss CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 18, 1993, Claimants Wilshire Company, William J. Spivock and Visit Taveethamcharoen, th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marilyn Johnson 93-04267 Name of Respondents Dean Witter Reynolds Inc. Roney &Co. Marie Flash For claimant Marilyn Johnson ("claimant") appeared George L.^McGaugbey, Esq. of McDonald, Hopkins, Burke & Haber Co., Cleveland. Ohio: For respondent Dean Witter Reynolds Inc. ('Dean Witter") appealed Michael N. Ungar, Esq. of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barry L. Hines 93-04260 Name of Respondents Albert Palmiere, m Steven Goodman Joseph Chester John Charles Ferguson REPRESENTATION Claimant, Barry Hines ("Claimant"), appeared pro se. Respondent, Albert Palmiere, HI ("Palmiere"), appeared pro se. Respondent, Steven Goodman ("Goodman"), appeared pro se. Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Zhengzhou Pan-China Arts & Crafts Co., Ltd., (Claimant) vs. Malario Corp. d/b/a Shamrock Financial Services, Edward Cohan, John Huang, Dennis Maloney, and Michael Wu, (Respondents) Case Number: 01-02773 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Zhengzhou Pan-China Arts & Crafts Co., Ltd., hereinafter referred to as "Claimant": Saul Roffe, Esq., Sirota

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between SCOTT LOWRY and MORTON KIRSCHENBAUM, Claimants, v. NASD No. 93-4256 EXPANSION CAPITAL SECURITIES and MICHAEL MEYER, Respondents. Representation For Claimants: Kenneth Nemzer, Esq., Tiburon, California For Respondents: Edward King, Esq. and Susan Stark, Esq. of the Law Offices of Edward King, San Francisco, California Case Information Stateme

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Helen E. Glenn and 93-04255 Name of Respondents Lawrence W. Durbin REPRESENTATION OF PARTIES Helen E. Glenn ("Claimant") appeared pro se. Lawrence W. Durbin ("Respondent") did not appear at the hearing. CASE INFpRMATION The Statement of Claim was filed on or about October 14, 1993. Submission Agreement of Claimant Hel