AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Frank M. Smith and 96-04769 Name of Respondent Currency Trading International, Inc. Marie Fine John Doe REPRESENTATION OF PARTIES ' Oai mant") was'rcprcscmed-by Franc is V-.Crist iano v Esq. And Rlch^^Ncrjog. Currency Trading InternauonalVInc. C'RespohdentCTrV) AvasreprcsentedteyThorn RIodgeU, Esq;, Irvine, Calif

SENT BY: < * 6-18-88 ; 8:11AM ;NASD ARBITRATION DPT- 12122085165;* 6/24 AWARD RRQULATN INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Wendy D'Ambrogia Name of Respondents Prudential Insurance Company of America Richard Holland REPRESENTATION For Claimant: Steven J. Hassmg, Esq., Dublin, CaJifornia Arbitration No. 96-04768 For Respondent Prudential Insurance Company: Kathryn K. Morrison, Esq., Seyf

NASD REGULATION In the Matter of the Arbitration Between Name of Claimant Robert M. Schwartz 96-04767 Name of Respondents American Eagle Investments, Inc. Allen R. Rosenberg Richard Nelson REPRESENTATION For claimant Robert M, Schwartz ("claimant") appeared Lloyd S. Clareman, Esq.y with ^offices For respondents American Eagle Investments, Inc. ("American Eagle") and Allen R. Rosenberg ("Rosenberg") appeared Daniel E. Bacine, Esq. of

AWAftD KASD REGULATION. IMC,, OPFICH OF Plgpm-g RggQUTTIOH In the matter of the Arbitration Between Narpe of PI a -i mant (s) Henry A. Schauer Arbitration No. 96-04765 Name of Respondent Prudential Securities Incorporated George Merrill For Claimant: Philip J. O'Connell, Esq., Missoula, Montana For Respondents^— Peter- von- Maur-r Incorporated, New York, New York CASK TMFQRMATIOH Statement of Claim filed: October 23, 1996 Cla

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Gerald Tarvis and Bemice Tarvis Trust, Nancy Paull, Individually and as Trustee of the Trust and John D. Tarvis, Individually, and as Trustee of the Trust, Claimants, v. No. 96-04755 Kemper Securities, Inc., Dean Witter Reynolds, Inc., and Thomas Gerald Tarvis, Respondents. REPRESENTATION OF PARTIES Claimants Gerald Tarvis and Bernic

AWARD NASD REGULATION, INC, OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Beth Babich Zielinski 96-04753 Name of Respondents Quick and Reiily, Inc.; John A. Masi, Sr. REPRESENTATION For Claimant: Beth Babich Zielinski ("Zielinski") was represented by James D. Adduce^ Esq. and Marshall L Blankenship, Esq. of Adducci, Dorf, Lehner, Mitchell & Blankenship; P.C., located in Chicago, Illinois, ••'• .--

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant "•»• ' - ., -„ Peter H. Stockmann 96-04746 o Respondents •« *•***»! HI -'•' Euro-Atlantic Securities, Inc. J.P. Milligan, Inc. Alphonse Seddio, Jr. Claimant Peter H. Stockman ("Claimant") appeared pro se. For Respondent Euro-Atlantic Securities, Inc. ("Euro-Atlantic") appeared Robert Carlin, Esq,, in-house counsel for Respondent Euro-Atlantic locate

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Young Pil Kim, Claimant v. Morgan Stanley Dean Witter, Inc., Gapsik Choo and Gene Pak, Respondents Case Number: 01-02186 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Marc I. Zussman, Esq. Law Offices of Marc I. Zussman, Esq. Los Angeles, California For Respondents: Keith Guilfoyle, Esq. Morgan Stanley Dean Witter, Inc. New York, New Y

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eric Vitola 96-04744 Name of Respondents Corporate Securities Group, Inc. William Braun Thomas Campo CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on October 24. 1996, claimant Eric Vitola ("Vitola"), who appeared Pro Se, alleged that respondents Corporate Securitie

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Brian P. McMahon 96-04743 Name of Respondents Kedem Capital Corporation Paul Haney REPRESENTATION For Claimant Brian P. McMahon appeared John £. Lawlor, Esq., a sole practitioner located in Mineola, New York. For Respondents Kedem Capital Corporation ("Kedem") and Paul Haney ("Haney")(o>Hecdvfely referred to as "Responde