N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimants Stephen F. Bowman and Melinda S. Bowman, NASD Arbitration No. 93-02984 Name pf Respondents Prudential Securities, Inc. and O!*nn C. Hewitt REPRESENT ATION For Claimants: David Liebrader, Esq., Investors Arbitration Services, Woodland Hills, California. For Respondents: Joel Levinson, Esq., Prudential Securiti

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant First of Michigan Corporation and NASD Case Number: 95-02979 Name of Respondent Timoleon L. Nicholaou REPRESENTATION OF PARTIES Claimant First of Michigan Corporation was represented by Michael P. Coakley, Esq. of Miller, Canfield, Paddock & Stone located in Detroit, Michigan. Respondent Timoleon L. Nicholaou was represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William A. and Carol Cowl 93-02972 Name of Respondent Mcginn, Smith & Co.,Inc. REPRESENTATION For Claimant: Timothy J. O'Connor of Ainsworth, Sullivan, Tracy, Knauf, Warner & Ruslander located in Albany, New York. For Respondent: Michael J. Smith of Roemer and Featherstonhaugh, F.C. CASE INFORMATION Statement of Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. Name of Claimant Glenn L. King 93-02964 Name of Respondents Southwest Securities, Inc.; Knibbe Financial Group, Inc.; Charles Knibbe; Stanley Mclnryrc. REPRESENTATION For Claimant: Glenn L. King ("King") was represented by William S. Shepherd, Esq. of Houston, Texas. For Respondents: Southwest Securities, Inc. ("Southwest") was rep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Larry J. Laughiin 93-02961 Name of Respondents Advance Equity Group, Inc. Aaron Fischman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 30. 1993, Claimant Larry J. Laughiin. who appeared Pro Se, alleged that he was sold the stock Big Boy Pac. Inc. New ("BGBP") with a promise

INDUSTRY N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc 93-02952 Name of Respondent Stephen J. Cooper REPRESENTATION For Claimant: David L. Becker, Esq:, of the law firm of Kutak Rock, New York, NY. The Respondent did not appear. CASE INFORMATION Statement of Claim filed: July 28, 1993. Claimant's Submission Agreement signed on: Jul

NASD Arbitration No. 93-02949 N . A . S . D . AWARD NATIONAL ASSOCIATION OF gSCUT^T'Trg r"ALS3S . IMC.. Ir. the matt.tr ci the Arbitration Between Kfamj-> of.. Claimant: * s ) Matthew Wick Mame of Regpnndgnt (s) IDS Financial Services, Inc. Cari Lyn Stanton REPRE S ENTATI ON For Claimant: Peter 3. Myers, Esq., Fritz & Myers, San Francisco, California For Respondents: Gary R. Irwin, Esq., IDS Financial Corporation, Minneapolis. Mi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: NflliPf pf thff f.lfljmfmt Pagp T^HTTlh^ 1 " 01 -02646 Douglas Maurice Rich rjpo Sitp- Washington, DC Dave M. Connolly Steven Ford OF PAPTTF.S Claimant, Douglas Maurice Rich ("Rich"), hereinafter referred to as "Claimant": pro se. Respondents, Dave M. Connolly ("Connolly") and Steven Ford ("Ford"), hereinafter collectively referred to as "Respondents": Howard M.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Henry Levin TTEE/Henry Levin Living Trst Philip Levin Edward Brewer & Virginia Brewer 93-02947 Name of Respondents A Financial Securities Network. Inc. National Financial Services Corporation Hyannis Trading Advisors, Inc. Jeremiah Hegarty Michael Hegarty REPRESENTATION POT Claimants Henry Levin, Philip Levin a

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Carol J. Clarke, Claimant, v. NASD No. 93-03018 Michael A. Bronzino and Prudential-Bache Securities, aka Prudential Securities, Inc., Respondents. Representation For Claimant: Cedric Choi, Esq., Honolulu, Hawaii For Respondent Prudential-Bache Securities (Prudential): Gary Klein, Esq., Prudential, New York, New York For Responden