N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name nf Claimants Patrick T. Donlon Patti L. Donlon NASD Arbitration vs. #93-03190 of Respondent Prudential Securities, Inc. REPRESENTATION For Claimants: Dennis G. Merenbach, Esq., Santa Barbara, California and Jules Federman, Investors Rights Association, San Barbara, California For Respondent: Ralph S. Blascovich, Esq. Prud

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gerda Murphy 93-03188 Name of Respondents Prudential-Bache Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 23, 1993, Claimant Gerda Murphy, who appeared Pro Se, alleged that she purchased twenty units of the Prudential-Bache Energy Income Limited Partnership f

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Cecil B. Gibson Gibson Direction Drilling, Inc. Claimants NASD Arbitration No. 93-03185 v. Prudential Securities, Inc. Respondent REPRESENTATION For Claimants: Dennis G. Merenbach, Esq., Santa Barbara, California For Respondent: E. Scott Douglas, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMATION Amended Statement of Claim

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/ Counter-Respondent First of Michigan, Division of Fahnestock & Co., Inc. and Case Number: 01-02662 Hearing Site: Troy, Michigan Name of Respondent/Counter-Claimant/ Third-Party Claimant Frank Bluestein v. Third Party Respondent Sharon Ramey REPRESENTATION OF PARTIES First of Michigan, Division of Fahnestock & Co., Inc. ("Claimant 11 o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Isabel C. Diamond NASD Arbitration v. No. 93-03182 Name of Respondents Michael M. Markow Salvatore A. Vecchio REPRESENTATION For Claimant: Sean A. Davitt, Esq., Newport Beach, California For Respondents: William J. Lopshire, Esq., Lopshire & Barkan, Woodland Hills, California CASE INFORMATION Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ben Frank Howard H. Frank, P/O/A 93-03181 Name of Respondents Steven R. Gurtov Barbara J. Armeli CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 13, 1993, Claimant Ben Frank, through his representative Howard H. Frank, with Power of Attorney, alleged that Respondents Bar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Marion L. and Arlene D. Martin, ind/ttee 93-03180 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert W. Orr CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 13, 1993, Claimants Marion L. and Arlene D. Martin, et al., through their representative, Brian Lowe o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Donald Heinrich, and Dorrie Heinrich, Claimants, v. No. 93-03179 CFD Investments, Inc., Jerry Jensen, and Mick Owens, Respondents REPRESENTATION OP PARTIES Claimants Donald & Dorrie Heinrich {"Claimants") were represented by Brian K. Lowe, of Investors Arbitration Services, Inc., Woodland Hills, California. Respondents CFD Investments, Inc. and Mick Owens ("Respondents")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS of Alice R. Wood 93-03178 DeBorah Stanford Waddell & Reed, Inc. REPRESENTATION OP PARTIES For Claimant, Alice Wood at the hearing: Thomas Vaughn, Esq. and Gerald S. McCarthy, Esq. of Thomas E. Vaughn & Associates, Chicago, Illinois. .•-•-, • f • • -^ For Respondents, DeBorah Stanford and Waddell & Reed, Inc. at the hearing: Rodney 0. McWhinney, Esq. of Waddell & Reed, Inc.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Legg Mason Wood Walker, Inc. 93-03176 Name of Respondent Joel K. Gothold REPRESENTATION For Claimant, Legg Mason Wood Walker, Inc. ("Claimant"), John Snyder of Bingham, Dana, & Gould located in Hartford, Connecticut. For Respondent, Joel K. Gothold ("Respondent"), Eliot B. Gersten of Gersten & Clifford, located in Hartford,