N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the ArDitrauon Between Name of Claimant Jan Gryglak 4^ No. 92-02926 Name of Respondents Royce Investment Group, Inc. Ameritrade SeanO'Hara REPRESENTATION OF PARTIES Claimant Jan Gryglak appeared pro se. For Respondents: Jeffrey J. Scott, Esq. of Krys, Boyle, Golz, Reich & Freedman, Denver. Colorado. CASE INFORMATION Statement of Claim filed: August 31,

Award NASD, Inc. Dispute Resolution In the Matter of the Arbitration Between: First Union Securities, Inc. Claimant vs. Bradley R. James Respondent Pass Number- 01-02442 Hearing Site: Richmond. VA REPRESENTATION OF PARTTFS Claimant First Union Securities, Inc. ("Claimant") was represented by John E. MacDonald, Esq. of the law firm of Stark & Stark, Lawrenceville, NJ. Bradley R. James ("Respondent") was represented by Perry A. Pirsch, Esq. of the

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ The Pershing Division of Donaldson Lufkin & Jenrette Securities Corp. 92-02924 Name of Respondents) Mark P. Brie ^ CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 1. 1992 Claimant The Pershing Division of Donald Lufkin & Jenrette Securities Corp. by and th

N.A.S.D. AWARD i NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maine of Claimants C. Edward and Betty Blair 92-02919 Name of Respondents Merrill Lynch Pierce Fenoer < k Smith Inc John P. McLoughlin For ftatmMM c. Edward and Betty Blair ("Blair'): Allan J. Fedjor, Eaq* of Fedor A Fedor and Tack Windt, Esq. FOr Respondents, MerriE Lynch Pierce Fenner & Smith Inc. ("MLPFS") and John P. McLougnfin ("M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond James & Associates, Inc. 92-02917 Name of Respondents Ross Freitas Carolyn Safer Kenner George J. O'Leary F/S Investment Partnership Name of Third Party Respondent * David Pracker RflJPfl DENTATION For Claimant, Raymond James & Associates, Inc. ("Raymond James") and Third Party Respondent, David Prac

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or' the Arbitration Between Name of Claimant Cheryl H. Runzo 92-02916 Name of Respondents PaineWebber. Inc. Joe Kennedy, in CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on August 31. 1992, Claimant Cheryl H. Runzo. who appeared Pro Se. alleged that Respondent Joe Kennedy, EQ under the supervision of Respondent Pai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James B. Korndorffer 92-02913 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc.; Merrill Lynch Life Agency, Inc. REPRESENTATION For Claimant: James B. Korndorffer ("Korndorffer") was represented by Joe Sam Owen, Esq. and Joe C. Gewin, Esq. of Owen, Galloway & Clark, in Gulfport, Mississippi. For Respondent: Me

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert & Elizabeth Kozub 92-02911 Name of Respondents Butcher & Singer, Inc. Maxine Aronson Freilich REPRESENTATION For Claimants Robert & Elizabeth Kozub ("Claimants"): Earle R. Frost, Esq., of Frost & Danchak. For Respondents Butcher & Singer, Inc. ("Butcher") and Maxine Aronson Freilich ("Freilich"): Paula D. Shaffn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nme of Edward M. Swiggard Name of Respondents Shearson Lehman Brothers, Inc. George Schwelling and In the Matter of the Arbitration Between Name of Claimant Janet H. Doehlert 92-03161 Name of Respondents Shearson Lehman Brothers, Inc. George Schwelling REPRESENTATION Claimants Edward M. Swiggard ("Swiggard") and Janet H.

92-0296 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward M. Swiggard Name of Respondents Shearson Lehman Brothers, Inc. George Schwelling and In the Matter of the Arbitration Between Name of Claimant Janet H. Doehlert Name of Respondents Shearson Lehman Brothers, Inc. George Schwelling 92-03161 REPRESENTATION Claimants Edward M. Swiggard ("S