NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, LNC. In the Matter of the Arbitration Between John Wong, and LilLie A. Wong, Claimants, v. No. 95-03557 Aragon Financial Services, Inc., and Gail Gentry, Respondents. REPRESENTATION Op PARTIES John Wong, and Lillie A. Wong ("Claimants") were represented by Paul A. Conant, Esq., and Brian J. Schulman, Esq., of Galbut and Associates, Phoenix, Arizona. Aragon Financial Services, Inc

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Emilv Decker. No. 95-03556 Merrill Lynch, Pierce, Fenncr & Smith. Inc.. Jeffrey C. Hopp, Sun Investment Services Company, and Robert V. Linkncr, REPRESENTATION OF PARTIES Claimant Hmily Decker ("Claimant") was represented by Joseph H. Spiegel. Hsq. of Joseph H. Spiegel, P.C. located in SouthfiekL Michigan. Respondents Merrill Lynch. Pierce, Fenn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-02191 Name of Respondent Jose A. Kripacz REPRESENTATION For claimant Painewebber, Inc. ("claimant") appeared Thomas M. Mierswa, Jr., Esq., Corporate Vice President and Senior Litigation Counsel of PaineWebber, Inc. Respondent Jose A. Kripacz ("respondent") appeared pro se. CASE INFORMATION Statement

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kurian Chummar; and 95-02190 Name of Respondent D.H. Blair & Company; Frederick S. Levine; Patrick B. Gibson. REPRESENTATION OF PARTIES For Claimant: Claimant Kurian Chummar ("Chummar") was represented by Thomas C. O'Brien, Esq. of O'Brien & Barbahen in Chicago, Illinois. For Respondents: Respondent D. H. Blair & Co. ("B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald G. Hardesty 95-02187 Name of Respondents Olde Discount Corporation Bill Short CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 8, 1995, Claimant Donald G. Hardesty ("Claimant"), who appeared Pro Se, alleged that Respondents Olde Discount Corporation f ODC") and BUS Short

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between » Name of Claimants Kenneth C. and Julia A. Jones 95-02183 Name of Respondents PaineWebber, Inc. Mark Scaglione Patrick. Shea Robert A. Rosso CASE SUMMARY In a claim filed with the NationaJ Association of Securities Dealers, Inc. on May 5, 1995, Claimants Kenneth C. & Julia A. Jones, who appeared Pro Se, alleged that Respondents Pai

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Donald James Fuselier Josette M. Fuselier and , NASD Case Number; 95-02181 Name of Respondents Prudential Securities, Inc. Jan Holland Townes REPRESENTATION OF PARTIES Claimants Donald James Fuselier and Josette M. Fusetter were represented by Jeffrey Ackermann, Esq. of Durio, McGoffin & Stagg located In Lafayette, Louis

N.A.S.P. AWARD NATIONAL ASSOCIATION QF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Lorraine Simpson NASD Arbitration No.95-02177 Natne nf Respondents U.S. Bancorp Securities Robert W. Towers, m Timothy Dugan For Claimant: Robert M. Roth, R.M. Roth & Associates, Appleton, Wisconsin For Respondents: Kenneth C. Mennenwier, Esq., Orrick, Herrington & Sutciiffe, Sacramento, California CAgE JlVFf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sheila Madding IRA and Sheila Madding Family Trust v. Prudential Securities, Inc., Jennison and Associates, et al. Case Number: 01-01918 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Sheila Madding IRA Sheila Madding Family Trust For Respondents: Prudential Securities, Inc. James E. Lemonick James R. Zitch Stephen M. Moore

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS IN THE MATTER OF ) ARBITRATION BETWEEN ) ) JOHN R. HUTCHISON, JR., ) ) Claimant, ) ) v. ) 95-02168 ) CHARLES SCHWAB & CO., INC. ) ) Respondent . ) PARTY REPRESENTATION For Claimant: John R. Hutchison ("Hutchison") was represented by Harry O. Moline, Esq. of Moline & Shostak, L.L.C., located in St. Louis, Missouri. For Respondent: Charles Schwab & Co., Inc. ("Schwab