N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Shirley Amato 92-02909 Name of Respondents McDonald and Company Securities Richard Mapcs For Claimant Shirley Amato ("Claimant"): she represented herself. For Respondents McDonald and Company Securities ("McDonald") and Richard Mapes ("Mapes"): Brian M. Eisenberg, of Calfee, Halter et al. CASE INFORMATION Statement of C

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Riad E. Abou-Morad and Florence Abou-Morad and 01-02441 Southfield, Michigan Kirkpatrick, Pettis, Smith, Polian, Inc., Gregory D. Adams, Todd J. Dirks, and Lana T. Shuff REPRESENTATION OF PARTIES Riad E. Abou-Morad and Florence Abou-Morad ("Claimants") were represented by Joseph H. Spiegel, Esq., Ann Arbor, Michigan. Kirkpatrick, Pettis, Smith, Polian, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant s) Robert Schaeter 92-02903 Name of Respondents) Craig DeLoach Anthony S. Casacci REPRESENTATION For Claimant Robert Schaefer: Walter D'UU, Esq. Respondents appeared pro se. CASE INFORMATION Statement of Claim filed: August 27, 1992. Claimant's Submission Agreement signed on: July 31, 1992. Statement of Answer f

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Soossan Salmassi 92-02901 AWARD Name of Respondents) South Richmond Securities, Inc. Robert Rivoli CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 28, 1992, Claimant Soossan Salmassi who appeared Pro Se, alleged that she was persuaded by Respondent Robert R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kesia D. Taylor 92-02897 Name of Respondent Oxford Capital Securities, Inc. Garland Mitchell For Claimant Kesia D. Taylor: she appeared pro se. For Respondent Garland Mitchell ("Mitchell"): statement of answer was submitted pro se. For Respondent Oxford Capital Securities, Inc. ("Oxford"): no representative appeared for Oxf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Amir Rosenthal NASD Arbitration No. 92-02895 Name of Respondent^ Toluca Pacific Securities Corporation Steve Friedman Peter Blowitz REPRESENTATION For Claimant: Paul H. Samuels, Esq., Santa Monica, California For Respondents: Sheldon M. Jaffe, Esq., Los Angeles, California and Edward Gartenberg, Esq., Burris, Drul

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Erwin A. Weiss Case no. vs. 92-02893 Name of Respondents Gary Goldberg & Co.. Inc Gary Goldberg For Claimant, Erwin A. Weiss ("Claimant"), Joseph F. Keenan, Esq., from the law firm of Bochat & Keenan. Inc.. P.C. For Respondents. Gary Goldberg & Company, Inc. ("GGCI") and Gary Goldberg (Goldberg) (collectively "Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In cite iviauer of the Arbitration Between Name of Claimant Leslie McKay 92-02887 Name of Respondents Princeton Financial Group, Inc. David Harris For Claimant, Leslie McKay ("Claimant"), William G. Bauer, Esq., from the law firm of Woods, Oviatt, Oilman, Sturman & Clarke. For Respondent, David Harris ("Harris"), Laura' J. Wilson, Esq. from the law firm of Harris Beach & WUcox.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimant Frank G. Mistretta 92-02884 Name of Respondents Advest. Inc. Daniel J. Wixted Washington Investment Corporation For Claimant Frank G. Mistretta ("Claimant"): Walter D'UU, Esq., sole practitioner. For Respondent Advest, Inc. ("Advest"): William C. Frcitag, Esq., in-house counsel at Advest. For Respondent Daniel J. Wixted ("Wix

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Arthur Resnikoff Jacqueline Levy NASD Arbitration No. 92-02883 Name of Respondent(s) Kidder, Peabody & Co., Inc. Steven Nothmann REPRESENTATION For Claimants: Brian K. Lowe, Investors Arbitration Services, Inc., Woodland Hills, California For Respondents: William H. Phelps, Esq., Kidder, Peabody & Co., Inc., Los