N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David R. DiCenso Case No. vs. 93-03504 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Lynne Ellen Larson Arthur Edward Rozzero Robert Baker Shaffer, n REPRESENTATION For Claimant, David DiCenso, ("Claimant"), William Filippo, Esq. from the law firm of John N. Calvino Law Associates located in Providen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants George Pucci and Kate Pucci 93-03423 Name of Respondents Bradley Hummel & Co. Phillips Appel & Walden REPRESENTATION For Claimants: Claimant George Pucci appeared pro se, Kate Pucci did not appear. For Respondent Bradley Hummel &< To.: John J. Howard of Wilker, Gottlieb & Howard located in New York, NY. For Responde

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Anna M. DeSanto and Thomas J. DeSanto 93-03416 Name of Respondent Gruntal & Co., Incorporated; Alexandra Kunkle REPRESENTATION For Claimant: Anna M. DeSanto and Thomas J. DeSanto ("DeSanto") were represented by Marshall Patner, Esq of Marshall Patner & Associates, P.C. located in Chicago, Illinois. For Respondent: Alexandr

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Albin T. and Madeline Cerajewski & Patricia Oilman and 93-03412 Name of Respondent Alexandra Kunkle REPRESENTATION OF PARTIES Albin T. and Madeline Cerajewski & Patricia Oilman (collectively as "Claimants") were represented by Marshall Patner, Esq., Marshall Patner & Associates, P.C., Chicago, Illinois. Alexandra Kunkle ("Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mississippi Gulf Coast Regional Wastewater Authority 93-03411 Name of Respondent Shearson Lehman Brothers, Inc., now known as Smith Barney Shearson Inc. REPRESENTATION For Claimant: Mississippi Gulf Coast Regional Wastewater Authority ("Mississippi Gulf) was represented by William F. Ray, Esq. and George R. Fair, Esq. of Watkin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Matthew J. Otchy, Deiores Russo, Mary Hern, and Gerard H. Killenberger, (Claimants) vs. Polaris Financial Services, Inc. and H.D. Vest Investment Securities, Inc., (Respondents) vs. Jack A. Moloney (Third-Party Respondent) Case Number: 01-02688 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Matthew J. Otchy ("Otchy"), Deiores Russo ("Russo"), Mary Hern ("Hern"

N.A.S.D. AWARD NATI2MAL ASSOCIATION G? g"CtT3TT":gg "gaLE In the matter of the Arbitration Between of Caimant: ( .q) Burton Spurloclc NASD Arbitration ' ' :..i No. 93-03403 of Resoondenc(si Investors Associates, Inc. For Claimant: Oavid Liebrader, Esq. ,- Investors Arbitration Servicesanlnc,.,. Woodland . _For Respondents: Lawrence R. Gelber, Esq., Beige 1 Schy Lasky Rifkind Goldberg FertiJc & Gelber Statement of Claim filed?..-.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Margaret L. Ibex c - ••••- 93-03402 Name of Respondents James D. Stay mates CASE SUMMARY In a claim fited with the National Association of Securities Dealers, Inc. on August 26, 1993, Claimant Margaret L. Ibex, who appeared Pro Se, alleged that Respondent James D. Staymates sold her an interest in the Damson 1981-82 Oi

M.A.S.D. AWARQ ASSOCIATION OF SECURITIES PETAT.RBS, INC.. In the matter of the Arbitration Between Name of Claimant: la) Eleazar. Magdalleno Name of Raqpor^dent. (a\ Bruce Alan Biddick John Kenney Berscht Lyn Flanagan NASD Arbitration No. 93-03399 For Claimant: Eleazar Magdalleno, Union City, California For Respondent Bruce Alan Biddick: Antoine M. Devine, Esq., Dennis & Coscia, San Diego, California For Respondent John Kenney Be

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maner of the Arbitration Between Name of Claimant Susan Bell 93-03398 Name of Respondent Your Discount Broker, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 30, 1993, Claimant Susan Bell, who appeared Pro Se, alleged that Respondent Your Discount Broker, Inc. transferred funds, without her knowledge or consent, from her o