N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Edward and Iva O'Connell Case No. 92-03344 Name of Respondent^ Prudential-Bache Securities Inc. Russell Ketchum Patricia Youngquist REPRESENTATION For Claimant, Edward and Iva O'Connell ("the O'ConneUs"): Terrance A. Bostic, Esq. Ackerman, Senterfitt & Eidson, P.A. Tampa, Florida. For Respondent, Prudential Securitie

r Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name nf the. Claimant Theresa Martin and Theresa Martin, as Trustee of the Theresa Martin IRA Name, of the Uespondents Stifel, Nicolaus & Co., Inc.; Michael Grimes; Harry Young; and Todd Burnett age •NTnmher 01-02463 Hearing Site: St. Louis, Missouri fl]Tl>PF.SF7VTATTON OF PARTTFS Claimant Theresa Martin and Theresa Martin, as Trustee of the Theresa M

N.A.S.D. AWARD .N'ATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Raymond and Myrna Wang vs. Case # 92-03375 Name of Respondents Josephthal & Co.. Inc. Paul N. Garofalo, Jr. REPRESENTATION For Claimant: Raymond and Myrna Wang, Bruce S. Schaeffer, Esq. For Respondent: Josephthal & Co.. Inc.. ("Josephthal"), Robert Moses of Josephtal & Co., Inc. For Respondent: Paul N. Garofalo, Jr. ("Gar

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William M. Collins and Carol T. Collins 92-03343 Name of Respondent J.W. Gant & Associates Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 5, 1992, Claimants William M. and Carol T. Collins, who appeared Pro Se, alleged that in March, 1992, they purchased 1,000

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jean Sam 92-03342 Name of Respondents First of Michigan Corporation Smith Hague & Co. Lewis Rowady REPRESENTATION For Claimant. Jean Sam: Anthony V. Trogan. Jr.. Esq. of law firm of Weissman. Trogan. Young, & Schloss P. C. For Respondents. First Michigan Corporation. Smith Hague & Co. and Lewis Rowady: Michael P. Co

.___ N.A.SJXAWARD NATIONAL ASSQCTATTON OP SErtTRlTIFfi Hf AT FTK la the matter of the Arbitration Between flaintant Julie M. Trajmor NASD Arbitration No. 9203340 Linsco Private Ledger Services Stephen J.Kan For Claimant: Randall W. Harper, Esq. Walnut Creek, California For Respondents: David S. Markun, Esq. - Zelle & Larson - San Fraacuco, California IWPQRMAON Statement of Claim filed: October 2, 1992 Claimant's Submission Agreement

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Third Party Claimant PaineWebber, Inc. and 92-03319 Name of Third Party Respondent Michael Murray REPRESENTATION OF PARTIES PaineWebber, Inc. (Third Party Claimant") was represented by Sarah G. Anderson, Esq. of PaineWebber, Inc., Weehawken, New Jersey. Michael Murray (Third Party Respondent 11 ) did not appear at the hear

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert N. and Nancy S. Titcher 92-03317 Name of Respondent Julius Parker, m REPRESENTATION For Claimants. Robert N. and Nancy S. Titcher ("the Titchers"): pro se. For Respondent, Julius Parker ("Parker"): Christopher Kise, Esq., of Adkins & BQse, P.A. CASE INFORMATION Statement of Claim filed: 10/1/92. Claimant's S

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward T. Kleinman 92-03315 Name of Respondents F.N. Wolf & Co., Inc. Mark Sottile CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 1, 1992. Claimant Edward T. Kleinman who appeared Pro Se, alleged that he and Dr. Mark Hegetschweiler lost $12,00.00 each due to the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jose Peter & Sophy Peter Case# vs. 92-03313 Name of Respondents South Richmond Securities Inc. Raj Pamnani - Third Party Respondent REPRESENTATION Claimant was represented by: Steven Kramer, Esq., a sole practitioner. .* i'" Respondent South Richmond Securities. Inc. was represented by: Thomas A. Rigilano, Esq.