NASDR AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant NASD Arbitration PaineWebber, Inc. #93-00850 vs. Name of Respondent Parvin Namaki REPRESENTATION For Claimant: Catherine Pratt, Esq., PaineWebber, Inc., Los Angeles, California For Respondent: No appearance. CASE INFORMATION Statement of Claim filed: March 3, 1993 Amended Claim filed: April 1, 1993 Second Amended Claim filed: February

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph A. Gibson. Jr. 93-00842 Name of Respondent J. C. Bradford & Co. REPRESENTATION Claimant Joseph A. Gibson. Jr. appeared pro se. For Respondent J.C. Bradford & Co. appeared Claude O. Ramer. in. CASE INFORMATION The Statement of Claim was filed on March 4. 1993. Claimant's Submission Agreement was signed on March 1.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ~~ Names o f/f Jane Anne Emerson et al. 93-00814 Name of Respondent Prudential-Bache Securities Inc. REPRESENTATION For Claimants, Jane Anne Emerson, Jane Gladden Emerson, Jonathan Emerson and Paul E. Emerson: James D. Keeney, Esq., Namack, Clark and Keeney, Sarasota, Florida. For Respondent, Prudential Securities, Inc. ("Prudential"): Dona

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George and June Woida Claimant(s) vs. 87-02807 Dean Witter Reynolds, Inc., and Gary J. Todryk Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimants George and June Woida alleged that Respondents Dean Witter Reynolds, Inc., and Gary J. Todryk mismanaged the Claimants' mutual fund account by failure to close out the account until the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis Mastrobattisto, Claimant vs. Case #87-02799 Award Stephen McDevitt and Shearson Lehman Mutton, Inc., ) Respondents ) ) CASE SUMMARY Claimant alleges that his broker, Stephen McDevitt, violated Section 10(b) of the Exchange Act and Rule 10b-5 and Section 36-498 of the Connecticut Uniform Securities Act. Specifically, Claimant allege

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant First Union Securities, Inc. n/k/a Wachovia Securities, Inc. and 01-02565 Phoenix, Arizona Name of Respondent David W. Block REPRESENTATION OF PARTIES First Union Securities, Inc. n/k/a Wachovia Securities, Inc. ("Claimant") was represented by Diane C. Fischer, Esq. and Kevin Gleason, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Mr. Gleason ap

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Jean and Margie Hampshire ) Claimants ) and ) A W A R D ) 87-Z78& Allied Capital Group Inc.; ) Jeffrey Pitzler ) Respondents ) On Tuesday, May 2, 1989 in Southfield, Michigan, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on December 18, 1987 by Claimants Margie and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) Adelaide Mancuso, ) Claimant ) Case #87-02777 vs. ) Award V.P. Securities and Maria Saulino, Respondents CASE SUMMARY Claimant alleged that Respondent, Maria Saulino, failed to exercise her warrants of Wainscott Capital stock pursuant to her order. Respondent, Maria Saulino, maintained that without the warrants, they could not be exercised and since

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration B e t w e e n ) ) Jay Nicholas ) ) Claimant ) and ) A W A R D ) 87-02768 Shearson Lehman Brothers, Inc.; ) Paul Warehall ) Respondents On Wednesday, May 3, 1988 in South-field, Michigan, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on Decem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond C. Desmarais J93-Q132J vs. Consolidated w/#93-01325 Name of Respondents Janney Montgomery Scott Inc. Norman R. Ferry Name of Claimants Donald P. D'Agostino Mary G. D'Agostino Adele D'Agostino vs. Name of Respondents Norman R. Ferry Janney Montgomery Scott, Inc. REPRESENTATION For Clai