N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Pasqual J. Talerico 93-03017 Names of Respondents Merrill Lynch Pierce Fenner & Smith Inc Scott M. Griswold REPRESENTATION For Claimant, Pasqual J. Talerico ("Talerico"), Jane A. Sirak, Esq. of West Palm Beach, Florida. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("M.L."), Michael E. Olney, Esq. of Merri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gloria DiRusso & Anthony DiRusso (deceased) 93-03014 Name of Respondents GKN Securities Corp. Robert D. Tucker REPRESENTATION For Claimants, Gloria and Anthony DiRusso, Sr., Alan Shaver from the law firm of Neville Shaver Kelly & McLean located in Stamford, CT. For Respondents, GKN Securities Corp., ("GKN"), David Smith fr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gayheart R. Rocke 93-03008 NameofResDondents Olde Discount Corporation; Brett Blasdel REPRESENTATION For Claimants Gayheart R. Rocke ("Rocke") appeared pro se. For Respondent: Olde Discount Corporation ("Olde*) and Brett Blasdel ("Blasdel") were represented by Brett Blasdel, Olde Discount Corporation. • •;• CASE INFORMA

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Gregory Buda 93-03004 Name of Respondents Barrett Day Securities, Inc. Joseph Capolino, Jr. REPRESENTATION For Claimant Gregory Buda ("Buda") appeared Alan Zoccolillo of John Jay Legal Services, Inc. Respondent Barrett Day Securities, Inc. ("Barrett Day") filed for bankruptcy, and, therefore, all claims were stayed against Barrett Day. Respondent J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas F. and Madeline L» Ryan ., .,!.,;; Case No. 93-03003 Name of Respondent^ Craig Medoff Brian McGowan • v -.I Us-J For Claimants, Thomas F. ffgnn and Madeline L. Flynn (the "Flynns"): Pro se. For Respondents, Graig Medoff and Brian McGowan ("MedofT and "McGowan"): Pro se (see "Other Issues"). 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 Roger Vandergrift 93-03001 Name of Respondents PaineWebber, Inc. Gilbert R. Solon CASE SUMMARY In a claim filed with the i^afionai Association of Securities Dealers, Inc. on August 3, 1993, Claimant Roger Vandergrift, who appeared Pro Se, alleged that Respondent Gilbert R, Solon, through the Respondent firm PaineWebber, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lida B. Crubaugh 93-03000 Name of Respondents Phillipe D. Steinitz Biltmore Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1993, Claimant Lida B. Crubaugh, who appeared Pro Se, alleged that Respondent Biltmore Securities, Inc. through its broker, Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David W. Freelove 93-02940 Name of Respondents Kidder, Peabody & Co., Incorporated Kidder Peabody Group, Inc. For Claimant David W. Freelove appeared Daniel A. Pollack, Esq. and Martin I. Kaminsky, Esq. of the law firm of Pollack & Kaminsky, New York City, NY. For Respondents Kidder Peabody &:Co., Inc. and Kidder Peabody Group,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James R. Truho and Judith M. Truho, (Claimants) vs. Morgan Stanley Dean Witter Inc. and Kevin Monaco, (Respondents) Case Number: 01-02640 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimants, James R. Truho and Judith M. Truho, hereinafter collectively referred to as "Claimants", appeared pro se. Respondents, Morgan Stanley Dean Witter Inc. ("MSDW") and Kevin Monaco

N.A.S.D. AvVARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Florindo Mariani and Patricia Mariani, Joint Tenants with rights of survivorship; Diana Mariani, Attorney in Fact for Florindo Mariani and Patricia Mariani and 93-02939 Name of Respondents Dickinson & Co. Bryant Robertson and Mark Van Deusen REPRESENTATION OF PARTIES Florindo Mariani and Patricia Mariani, Joint