N A.S.D. AWARD NATTONAT. ASSnTTATION DF SFnTRTTTRS nF.AT.FTJ5;, TNC In the matter of the Arbitration Between Name David G. Cade NASD Arbitration No.93-03392 nf Respondent Zions First National Bank RKPRRSF.NTATTON For Claimant: Daniel Robert Bartley, Esq., Larkspur, California, and Sharon Green, Esq., Las Vegas, Nevada. For Respondent: T. Richard Davis, Esq., and James R. Holbrook, Esq., Callister Nebeker & McCulIough, Salt Lake City,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Eric Chwatt Mitchell Chwatt 93-03388 Name of Respondents S.D. Cohn and Co., Inc. John J. Baratta REPRESENTATION For Claimants: Daniel A. Eigennan, Esq. of Homer & P.C. located in New York, New York. For Respondent S.D. Cohn & Co., Inc.: Charles M. O'Rourke, Esq., Hempstead, New York. For Respondent John J. Baratta: Ala

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jeff R. Moore, M.D. 93-03386 Name of Respondents Prudential Securities, Inc. Gordon McOwen . ... • CASE SUMMARY In a claim filed with the National Association of &aniritie? Dealers, Inc. on August 27, 1993, Claimant Jeff R. Moore, M.D., who appeared Pro Se, alleged that on August 9, 1985, he purchased a Western Savings and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) McLaughlin,Piven,Vogel Securities. Inc. 93-03503 Name of Respondent^ Nile J. Steigerwald Dennis M. Hellwig REPRESENTATION For Claimant McLaughlin, Kven, Vogel Securities, Inc. ("McLaughlin"): Christopher Coss, Esq. and Michael J. Fortunate, Esq. of the law firm of Rubin & Associates. For Respondents Nile J. Steigerwa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara Lee 93-03498 Name of Respondent Walter J. Marvin For Claimant: Claimant appeared pro se. For Respondent: Paul M. Collins, Esq. of Hinman, Straub, Pigors & Manning, P.C., Albany, New York. CASE INFORMATION Statement of Claim filed: September 20, 1993. Claimant's Submission Agreement signed on: September 17, 1993.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Phillip J. Nessler 93-03496 Name of Respondent Dickinson & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 7, 1993, Claimant Phillip J. Nessler, who appeared Pro Se, alleged that on December 4, 1992, Mr. Steven Shipley of Respondent Dickinson & Co. called him to propose t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02681 Jimmie Johns, claimant vs. Lee Brooks, respondent. ATTORNEYS: Claimant appeared pro se, Springdale, AR. Respondent appeared pro se, Springdale, AR. DATE FILED: May 22, 2001 CASE SUMMARY: Claimant alleged that respondent traded stocks in his account without his knowledge or authorization. Claimant maintained that the unauthorized trades created a loss in his account. A

N.A.S.D. AWARD \ ^^ ' ^» ^~ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cl' Edward A. Alden & Catherine E. Alden Case No. 93-03491 Name of Respondent First of Philadelphia Investment Group, Inc. REPRESENTATION For Claimants, Edward and Catherine E. Alden ("the Aldens"): John W. Berry, Esq. New Port Richey, Florida. For Respondent, First of Philadelphia Investment Group, Inc. ("FPIG"): pro s

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William M. McCarty and Janice E. McCarty 93-03486 Name of Respondents Kathleen C. Peer Kavanaugh Securities, Inc. Commonwealth Equity Services, Inc. REPRESENTATION For Claimant: Roland M. Cavalier, Esq. of Harris Beach & Wilcox located in Albany, New York. For Respondents: Thomas G, Nicholson, Esq. of Finneran & Nichol

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Lafayette L. Draper, Claimant, v. No. 93-03485 Prudential Securities Incorporated, Respondent REPRESENTATION OF PARTIES Jef Feibleman. Esq., of Burch, Porter & Johnson, Memphis, Tennessee, represented the Claimant, Lafayette L. Draper ("Claimant"). Robert S. Getman, Esq., Vice President, Associate General Counsel, Prudenital Securities Incorporated ("Respondent") represented the Respo