NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Charles A. Wolf and Chaseco, Inc. and 93-03052 Name of Resppndent Prudential Securities, Inc. Paine Webber, Inc. Bruce Tolbert REPRESENTATION OF PARTIES Charles A. Wolf and Chaseco, Inc. ("Claimants") was represented by Richard G. Schultz, Esq., Foran & Schultz, Chicago, Illinois. Prudential Securities, Inc. ("Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant v. NASD No. 93-3047 George S. Pietro Respondent Representation For Claimant: Michael Abbott, Esq., of Jones, Bell, Simpson & Abbott of Los Angeles, CA For Respondent: George S. Pietro Case Information Statement of Claim filed: August 4, 1993 Claimant's Submission Agreement signed: June 8, 1993 Statement of

Award National Association of Securities Dealers, Inc. In the Matter of the Arbitration Between Names of the Claimant Anthony V. Pugliese, HI Names of the Respondents Emerson Bennett & Associates, Inc. Richard Hamilton Peter Parente Jerry Stokes Brentley Martin Case Number: 01-02630 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Anthony V. Pugliese, III, hereinafter referred to as "Claimant": Russell L. Forkey,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roland S. Williams 93-03046 Name of Respondent Commonwealth Associates CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 4, 1993, Claimant Roland S. Williams, by and through his counsel David E. Robbins, Esq. of Kaufman, Feiner, Yamin, Gildin & Robbins, New York, NY, alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George A. Finn Award vs. #93-03032 Name of the Respondents First Albany Corporation and Patrick J. Lane REPRESENTATION For the Claimant, George A. Finn: Edward R. Wiest, Esq. of Tarlow, Breed, Hart, Murphy & Rodgers, located in Boston, Massachusetts. For the Respondents, First Albany Corporation and Patrick J. Lane

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Norman H. Schwichtenberg Mary R. Schwichtenberg NASD Arbitration No. 93-03028 Name of Resoondent Painewebber. Inc. Moe Beren REPRESENTATION For Claimants: R. Jeffrey Kelleher, Esq. - California International Law Chambers, San Diego, California For Respondents: Scott M. Ratchick, Esq. - Painewebber, Inc., Los A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David Kissi 93-03025 Name of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson Charles W. Anderson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1993, Claimant David Kissi, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant^ Thomas H. Stull NASD Arbitration v. No. 93-03022 Name of Respondents) Prudential Securities, Inc. REPRESENTATION For Claimant: L.B. Chip Edleson, Esq., Gray, Cary, Ware & Freidenrich San-Diego, California For Respondent: Peter Brown Dolan, Esq., Morgan Lewis & Bockius Los Angeles, California CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Nancy Rampy 93-02907 Name of Respondents Brokers Investment Corporation, Bruce Hartberg Dan Steinberg, and Norman Shubert OF PARTIES Claimant was represented by Rebecca E. Bender, Esq. of Rebecca E. Bender & Associates, Minneapolis, Minnesota. Respondents, Norman A. Shubert, Brokers Investment Corporation, and Daniel

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arnold H. Kagan 93-02905 Name of Respondent A.F. Best Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 27, 1993, Claimant Arnold H. Kagan, who appeared Fro Se, alleged that Respondent A.F. Best Securities, Inc., through its representative Marie Lombardo, misreprese