N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Louis L. and H. Joyce Kirkpatrick and 93-00734 Name of Respondents Hanover Sterling Company, Ltd. and Steve Ropas REPRESENTATION OF PARTIES Louis L. and H, Joyce Kirkpatrick ("Claimants") were represented by Paul G. Bursiek, Esq. of Pendleton & Sabian, P.C., Denver, Colorado. Hanover Sterling Company, Ltd. ("Hanover"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00939 Joseph B. Immordino, claimant vs. Investex Securities Group, Inc. and Alfred N. Schrott, respondents. ATTORNEYS: For Claimant appeared Steven J. Katz of BLS Legal Services Corp., Brooklyn, NY. For Respondents appeared Alfred Schrott, co-Chairman of Investex Securities Group, Inc., New York, NY. DATE FILED: February 26, 2001 CASE SUMMARY: Claimant alleged that respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James H. Allen and Alice Allen James H. Allen, IRA 93-00733 Name of Respondents Professional Planning Capital Corp. Professional Planning Associates, Inc. Jeremy A. Klainer Jane Boeder! Taves REPRESENTATION For Claimants James and Alice Allen ("Claimants") appeared James S. Grossman, Esq. of the law firm of Smallwo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Pearl Glauser 93-00726 Name of Respondents Prudential Securities, Inc. Thomas Turnbaugh CASE SUMMARY ;: '. j: fe'J" " la a claim filed with the National Association of Securities Dealers, lac. on February 26, 1993, Claimant Peari Gfanaer, who appeared Pro Se, alleged that Respondent Thomas Tutotaosh, through die Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant H. Richard Miller 93-00724 Name of Respondent Kober Financial Corp. Joanne Grimm CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 26, 1993, Claimant H. Richard Miller, who appeared Pro Se, alleged that Respondent Kober Financial Corp., through it's registered representative

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Joseph W. Hoffman and Janice D. Hoffman 93-00723 Name of Respondent^ First Investors Corporation Daniel B. Turner '^PRESENTATION For Claimants, Joseph W. Hoffman and Janice D. Hoffman ("Hoffmans"): James Scutti, Esq. of Jim Scutti, P.A. %*^ For Respondents, First Investors Corporation ("FIC") and Daniel B. Turner ("T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Marie Vogt No. 93-00719 Name of Respondents Prudential Securities Incorporated Rosario J. Petrizzo OF PARTIES Claimant was represented by Steven Samson, Esq., Evanston, Illinois. . Respondents were represented by Steven M. Malina, Esq., of Prudential Securities Incorporated, New York, New York. CASE INFORMATION Statement of Claim filed on or about: February 25

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimants Carlos E. Jofrc and lidilia De Jofre 93-00706 Brian B. Sptetzer CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 26, 1993, Claimants Caries E. and Lidilia De Jofre, who appeared Pro Se, alleged that in November, 1991 Claimant Carlos B. Jofre opened an account with Merri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTTFS DEALERS. TNC. In the matter of the Arbitration Between Name of Claimants Sara Jimenez de San Roman, Trustee of the Richie Trust UAD 10/385; Sara Jimenez de San Roman, Trustee of the AASR and SJSR Trust UAD 10/3/85; Sara Jimenez de San Roman, Trustee of the Lord Trust UAD 10/3/85; Sara Jimenez de San Roman, Trustee of the Jackie Trust UAD 10/3/85; Sara Jimenez de San Roman, Trustee of the Ma Angeles Jimen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Luis Miguel Aguilar 93-00695 Name of Respondents Prudential Securities Incorporated; Joseph M. Sullivan REPRESENTATION For Claimant: Luis Miguel Aguilar ("Aguilar") was represented by William S. Shepherd, Esq. of Houston, Texas. For Respondents; Prudential Securities Incorporated ("Prudential") and Joseph M. Sullivan ("