NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. lathe Matter of the Arbitration Between Matthew W. and Lidia E. Speights Claimants) NASD Arbitration and No. 95-04992 Olde Discount Corporation Respondents) REPRESENTATION OF PARTIES Matthew W. and Lidia E. Speights ("Claimant"); pro se. Olde Discount Corporation ("Respondent"); Represented by Lisa S. Fildes, Esq., Olde Discount Corp., Detroit, Michigan. : :V CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Claimants Case Number: 01-01083 Equidev Capital, L.L.C Catherine Crosby Wilcock Names nf the Respondents Hearing Site: Pittsburgh, Pa Wedbush Morgan Securities, Inc. LT Lawrence & Co., Inc. James Stuart Coleman REPRESENTATION OF PARTIES Claimants, Equidev Capital, L.L.C. ("Equidev") and Catherine Crosby Wilcock ("Wilcock"), hereinafter collectively referred to

Arbitration & Mediation National Auocirioii of Securities Detteiv, Inc. * 515 E. LM Ota Boulevard * Suite 1100 * Fort Lauderdile, PL 33301 * Phone 954-522-7391 *F« 954-522-7403* N.A.S.DJL AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Vincent James Fisk 95-04985 Name of Respondents Lehwald, Orosey & Pepe, Inc., Henry W. Lehwald, John Orosey, Gerard Pepe, and Lehwald Orosey & Pepe, Inc. 401K Savings

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert J. Anna N. Severson 95-04983 Name of Respondent */ JJfOide Discount Corporation CASE SUMMARY ; witri mV^aliofitf Ass^ Respondent, they suffered'damages for which the Respondent should be held liable. "Respondent Olde discount" 'CbrjSbratiori, through its in-house counsel, Lisa S. Fildes, Esq.; maintained tha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George M. Garnic 95-04979 Name of Respondent Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 17, 1995, Claimant ; .GeorgeM. Garnic ("Claimant"), who appeared Pro Se, alleged that Respondent Prudential Securities,' Inc. ("Respondent") recommended and

v ^ NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants David L. and Leslie C. Gura CASE NO. 95-04977 Name of Respondents L.C. Wegard & Co., Inc. John V. Adams VTR Capital, Inc. REPRESENTATION Claimants David L. and Leslie C. Gura ("Claimants"): Joseph Decker, Esq. of Joseph Decker & Associates, Pittsburgh, PA. Respondent L.C. Wegard & Co., Inc

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Dennis Makarewicz Travis W. Tuccillo Scott Praizner 95-04965 Names of Respondents IDS Life Insurance Company American Express Financial Advisors, Inc CONSOLIDATED WITH In the Matter of the Arbitration Between Name of Claimant Anthony Welch 96-01875 Names of Respondents IDS Life Insurance Company American Express Financial Advis

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prime Charter, Ltd. Name of Respondent Henry Zimerman © National Association of Securities Dealers, Inc. All Rights Reserved 95-04963 S4SEVI MARY In a claim filed with the National Association of Securities Dealers, Inc. on October 20,1995, Claimant Prime Charter, Ltd. ("Prime"), through its representative and in-house

95-04962 €> National Association of Securities Dealers. ? n c. *~ 199A All Rights Reserved N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Leo Nolan Name of Respondent Citicorp Securities Markets. Inc. REPRESENTATION For Claimant Leo Nolan ("claimant") appeared Scott Greathead, Esq. of the law firm of Owen & Davis located in New York, New York. F

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant and Counter-Respondent The Chicago Corporation and 95-04961 Name of Respondent and Counter-Claimant Gary Hagstrom REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: The Chicago Corporation ("TCC") was represented by Francis X. Grossi, Jr., Esq. of Bates Meckler Bulger & Tilson, located in Chicago, Illinois For Respondent