N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Henry L. Rust 93-04254 Najme of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney, Inc. Michael Brandes REPRESENTATION For Claimant Henry L. Rust ("Claimant"): appeared pro se For Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney, Inc. ("Shearson") and Michael Brandes ("Brandes"): Sean J. Coughlin, A

N.A,S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names pf Claimants Timothy J. Casey and Suzanne R. Casey 93-04239 Names of Respondents Rose Securities Corporation Mitchell Arthur Witt William A. Goldsmith AllanS. Bird Jules Silver David Cohen REPRESENTATION For Claimant: Timothy J. Casey and Suzanne R. Casey ("the Caseys"): Guy M. Burns, Esq. & Carol B. Robinson, Esq. of John

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants H. Thomas and Mary V. Foley 93-04238 Name of Respondents Wertheim Schroder & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 14, 1993, Claimants H. Thomas and Mary V. Foley, who appeared Pro Se, alleged that they purchased and sold 1000 shares of Pace Pharmaceutical

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bear Stearns & Co., Inc. Case vs. #93-04236 Name of Respondent Scott Son REPRESENTATION For Claimant, Bear Steams & Co., Inc. ("Claimant"), Jamie C. Rosenberg, Esq. and Nicholas Notias, Esq., from the law firm of Rosenberg Singer & Bienenstock, located in New York, New York. Respondent, Scott Son ("Respondent"), represe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. _ In the matter of the Arbitration Between Name of Claimant NASD Arbitration Caret Hegner No. 93-04234 v. e of Resondents Titan Value Equities Group, Inc. William Aubrey Morrow REPREgfENTATJQN For Claimant: Paul W. Thomas, Esq. - Carlsbad, California For Respondents: Donald P. Wagner, Esq. - Wagner & Lichman, Irvine, California CASE INFORMATION Statement of Claim filed

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between MICHAEL B. ROGOFF, Claimant v. NASD No. 93-4233 NATIONAL FINANCIAL SERVICES CORP., FINANCIAL SECURITIES NETWORK, INC., HYANNIS TRADING ADVISORS, INC., JEREMIAH J. HEGARTY, MICHAEL HEGARTY and GERALD HEGARTY, Respondents. Representation For Claimant: Paul Thomas, Esq. of Law Offices of Paul Thomas, Carlsbad, California For Respondent: Jeremia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James C. and Deborah D. Tate 93-04230 Name of Respondent Prudential Securities Inc. REPRESENTATION Claimants James C. and Deborah D. Tate and the Estate of Ruth Tate ("Claimants") were represented by John J. Miller, Esq. of Nygaard and Miller of Overland Park, Kansas. Respondent Prudential Securities Incorporated ("Prudent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mary Jane and John Mitrou 93-04229 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 13, 1993 Claimants Mary Jane and John Mitrou ("Claimants"), through their representative, Jill Levi, Esq., of Feltman, Karesh, Majo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Trocinski, Claimant v. Prudential Securities Inc. and Stanley Szymczyk, Respondents Case Number: 01-02770 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Mark Trocinski, Santa Monica, California For Respondent, Prudential Securities, Inc.: Arthur G. Baumgartner, V.P. Prudential Securities, Inc. New York, New York For Respondent, Stanley

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Robert G. Store, and Frank J. Store, Claimants, v. No. 93-04202 Leonard Tucker, Respondent. REPRESENTATION OF PARTIES Robert G. Store appeared on behalf of Claimants Frank J. Store and Robert G. Store ("Claimants"). Respondent Leonard Tucker ("Respondent") failed to appear at the hearing. CASE INFORMATION Claimants' Statement of Claim was filed on or about October 12,