N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond C. Desmarais vs. Name of Respondents Janney Montgomery Scott Inc. Norman R. Ferry -Q132 Consolidated w/#93-01325 Name of Claimants Donald P. D'Agostino Mary G. D'Agostino Adele D'Agostino vs. Name of Respondent^ Norman R. Ferry Janney Montgomery Scott, Inc. REPRESENTATION For Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Name of Claimants Robert and Janet Sullivan Case* vs. 93-00808 Dean Witter Reynolds Inc. Robert N. Schcrzer For Claimants, Robert and Janet Sullivan ("Claimants"), Richard C. Heidlage, Esq. from the law firm of Heidlage & Reece, P.C., located in Boston, Massachusetts. For Respondents, Dean Winer Reynolds, Inc. "(DWR") and Robert N. Scherzer ("S

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Margaret C. Spaulding, Joseph P. O'Connell and James Weber, as Co-Trustees of the Helen Spaulding Trust 93-00797 Name of Respondents Mutual Service Corporation; Pacific Equities Network; River North Securities; Coleman Richards Equity Inc.; Carol A. Holesha; and Charles J. Richards REPRESENTATION For Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert L. Warsh 93-00742 Name of Respondent Prudential Securities, Inc. REPRESENTATION For Claimant Robert L. Warsh ("Warsh") appeared Richard L. Burstein, Esq., Fernandez & Burstein, P.C., Albany, New York. For Respondent Prudential Securities, Inc. ("Prudential") appeared Miriam G. Bahcall, Esq., Skadden, Arps, Slate, Mea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs') Carl R. and Wilma M. Berry Case No. 93-00710 Name of Respondents) Prudential Securities, Inc. REPRESENTATION For Claimants, Carl and Wilma Berry ("the Berrys"): James D. Keeney, Esq. of Namalk, Clark & Keeney, Sarasota, Florida. For Respondent, Prudential Securities, Inc. ("Prudential"): Delmer Gowling, Esq. of Honigman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Motoshi Yamasaki 93-00661 Name yfRespondent^ D.H. Blair & Company Craig Nilsen David J. Yorwcrth CASE SUMMARY la a claim filed with the National Association of Securities Dealers, Inc. on February 23, 1993, Claimant Motoshi Yamasaki, who appeared Pro Se, alleged that Respondents Craig Nilsen and David J. Yorwenh of the

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Todd Wesley Stauffer and 01-02563 Denver, Colorado Name of Respondents Geneva Holding Corp., Geneva Capital Corp. and David M. Khalilzad REPRESENTATION OF PARTIES Todd Wesley Stauffer ("Claimant") was represented by Dennis A. Graham, Esq. of Clanahan Tanner Downing & Knowlton, located in Denver, Colorado. Geneva Holding Corp., Geneva Capita

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Steve and Elsie Von Duerring 93-00563 Name of Respondents Dunhill Equities, Inc. Erwin A. Forges REPRESENTATION For Claimant: Dan A. Druz, Esq., Sea Girt, New Jersey. For Respondent Dunhill Equities, Inc.: Joseph F. Keenan, Esq. of Bochat & Keenan, P.C., Garden City, New York. For Respondent Erwin Forges: Charles M. O'

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants The Estate of Margaret McClanaghan, Thomas McClanaghan, Personal Representative 93-00521 N,aine of Respopdent Kenneth M. Osier REPRESENTATION For Claimant: The Estate of Margaret McClanaghan, Thomas McClanaghan, Personal Representative, ("McClanaghan") was represented by Walter Baumgardner, Esq., of Musilli & Baumgardner,

NASD REGULATION, INC. AWARD In the Matter of die Arbitration Between Name of Claimant Gordon E. Segal 93-00201 Name of Respondents Josepbthal Lyon & Ross Inc. Stephen C. Byrd For Claimant Gordon E. Segal ("Claimant 11 ) appeared Paul Savad, Esq., of the law office Bring, Savad, & Smith, located in Nanuet, New York. For Respondent Josepbthal Lyon & Ross, Inc. ("Josephthal") appeared Robert E. Murphy, internal representation for Joseph