AWARD NASD Regulation, Inc. Office of Dispute Resolution-' _ In the Matter of the Arbitration Between Richard D. Niemi, Claimant, and No. 95-05360 Equity Securities Trading Co., Inc., Respondent. REPRESENTATION OF PARTIES Claimant Richard D. Niemi was represented by Daniel P. Taber, Esquire, located in Minneapolis, Minnesota. Respondent Equity Securities Trading Co., Inc. was represented by Vincent D. Louwagie, Esquire of Fruth & Anthony

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William Todd Meredith 95-05343 Name of Respondents Curtis B, Fischer Greenway Capital Corporation REPRESENTATION Claimant William Todd Meredith ("Claimant") was represented by Robert E. Falligant, Jr., Esq., Savannah, GA. Respondent Greenway Capital Corporation ("Greenway") was not represented at the hearing. Respon

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Petar Marovic and Rosy Marovic, individually and as Co-Trustees of the Marovic Family Trust NASD Regulation, Inc. v. Office of Dispute Resolution Arbitration No. 95-05333 Name of Respondents Prudential Securities Incorporated, and Arturo E. Matthews

7V.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITY HEALERS. TNC. In the matter of the Arbitration Between Name of Claimant Sherron L. Hall Name of Respondents Larry W. Mosher and Richard A. Garver NASD Arbitration No. 95-05331 For Claimant: Jeffrey L. Gaffhey, Esq. Law Offices of Jeffrey L. Gaffhey San Diego, California For Respondent Richard A. Garver: in pro per For Respondent Larry W. Mosher in pro per TTVFORMATIQN Statement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 95-05303 Name of Respondent Azar Sangochian CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 9, 1995, Claimant Prudential Securities, Inc. ("PSI"), through its representatives and in-house counsel, Steven P. Gomberg, Esq. and Michael A. Kraft, Esq.,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant David Knobbe and Names of Respondents W.J. Nolan & Company, Inc. and Bradley Evan Parker Case Number: 01-01096 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES David Knobbe ("Claimant") was represented by David Liebrader, Esq., David Liebrader, Inc., Las Vegas, Nevada. W.J. Nolan & Company, Inc. ("WJN") was represented by Brian A. Carli

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Schwartz (Claimant) v. Kurz-Liebow & Company, Inc. (Respondent) Case Number: 95-05297 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant David Schwartz ("Schwartz") hereinafter referred to as "Claimant": Richard Sacks, Investors Recovery Services, Novato, CA. Respondent Kurz-Liebow & Company, Inc. ("Kurz") herein

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mfatter of the Arbitration Between Name of Claimant Norma J. Niehoff 95-05296 Name of Respondents Thomas E. O'Connor Mario J. Gabelli Gabelli-O'Connor Fixed Income Management Co. Gabelli-O'Connor Mutual Funds Management Co. REPRESENTATION For Claimant appeared Robert J. Engling, Esq. of Rosenman & Colin, LLP. For Respondents Thomas E. O'Connor (O'Connor), Mario J. Gabel

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the matter of the Arbitration Between NASD Regulation, Inc. No. 95-05280 Raj Vadhera, Personal Representative of the Estates of Navrata Ram Vij and Guaran Devi Vij, Deceased Claimant vs. Smith Barney, Inc. William Johnson Jack Frager Respondents REPRESENTATION OF PARTIES For Claimant: Stephen P. Oggel, Esq., San Diego, California For Respondents: Paul Giappone,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Gustavus Adolphus College, Claimant, v. No. 95-05278 Craig-Halkun, Inc., and Hamilton Investments, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Gustavus Adolphus College was represented by Stephen P. Kelly, Esquire and Denis E. Grande, Esquire of Mackall Crounse & Moore PLC located in Minneapolis, Minnesota. RespondentsCraig-Hallum,