N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Emylie K. and Barbara Masopust 93-00864 Name of Respondents Multi-Financial Securities Corp. Kenneth Puckett REPRESENTATION For Claimants at the hearing: Steven Samson, Esq., Evanston, Illinois. For Respondent Kenneth Puckett at the hearing: Michael J. Falconer, Esq., Chicago, Illinois. For Respondent Multi-Financial Secur

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between iVarn* of Claimant Allan Hamm 93-00859 Nam? of Respondent Hibbard Brown & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 8, 1993, Claimant Allan Hamm, who appeared Pro Se, alleged that on March 29, 1991, he purchased 600 shares of Trans Atlantic Video (Diamond Entertainment)

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Hae Sim Lee and Hak Boong Choi, Claimants v. Charles Schwab & Company, Inc. Respondent Case Number. 01-00947 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants Hae Sim Lee and Hak Boong Choi: For Respondent Charles Schwab & Company, Inc. Erwin J. Shustak, Esq. Shustak Jalil & Heller San Diego, California Thomas L. Taylor, m, Esq.

In the Award NASD Dispute Resolution, Inc. Matter of the Arbitration Between Stevaj L A.Varga Case No. 00-00677 nf T? Morgs n Grant Capital Corporation Lou Si ontaino and Scott Goodman Site* Washington, DC OTT frAPTTFR Claim tnt Stevaa A-Varga ^Claimant 3 *) represented himself. Respojideat Morgan Giant Coital Corporation C^tespondenf 0 && not appear. Staterojent of Claim filed on or about: February 1,20.0

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities. Inc. vs. Case # 93-00854 Name of Respondent Wen Dar Chen REPRESENTATION For Claimant, Prudential Securities, Inc. ("Claimant"), David L. Becker, Esq., from the law firm of Kutak Rock. Respondent, Wen Dar Chen, was not represented by counsel. CASE INFORMATION Statement of Claim filed was on Mar

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Heritage Bank 93-00836 Name of Respondents Andrew Bayiiss Pioneer Portfolio Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 5, 1993, Claimant Heritage Bank, by and through their President, Brad Walterskirchen, alleged that on February 11, 1992 Respondent Andr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Consolidated Cases •9vPw9&&J*-'"'' 93-02454 Name of Respondent Jay Rodin REPRESENTATION For Claimant Prudential Securities, Inc.: Jill A. Byrne, Esq. of the law firm of Kutak Rock located in Washington, B.C. For Respondent Jay Rodin ("Respondent"): Sheldon M. Goldman, Esq. of the law firm

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Carol Thatcher Name of Respondent s) The Ohio Company Bill R. Dodds PUBLIC 93-00828 REPRESENTATION For Claimant Carol Thatcher: Joseph Spiegel, Esq., sole practitioner, Southfield, Michigan. For Respondents The Ohio Company and Bill Dodds: James Francis, in-house counsel for the Ohio Company, Columbus, Ohio. CA

PUBLIC N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Stephen Lane 93-00824 Name of Respondents Olde Discount Corporation Edward Stockton CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 5, 1993, Claimant Robert Stephen Lane through his counsel Barry H. Alper of Securities Arbitrator Consultants, Boca Raton, FL,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants De T. and Lynn H.L. Sheng 93-00822 Name of Respondents Biltmore Securities, Inc. Brian G. Kulungian CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 5, 1993, Claimants De T. and Lynn H. L. Sheng, who appeared Pro Se, alleged that on or about April i, 1992 after reviewing appr