N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William M. Howard 93-00232 Name of Respondents Prudential Securities Inc F.N. Wolf& Co., Inc. REPRESENTATION ' For Claimant William M. Howard ("Claimant"): Roger Allen Eddleman, Attorney at Law. For Respondents Prudential Securities, Inc. ("PSI") and F.N. Wolf & Co., Inc. ("F. N. Wolf 1 ); James C. Cosby, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven E. Vest 93-00231 Name of Respondents Dominick & Dominick Incorporated Portfolio Management Services, Inc. Alan D. Bush REPRESENTATION For Claimant, Steven E. Vest ("Vest"): Robert Wayne Pearce, Esq. of Lerner & Pearce, P.A. For Respondents, Dominick & Dominick Incorporated ("Dominick"); Portfolio Management S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Andrew A. Mienosa Case tf vs. 93-00228 Name of Respondent Olde Discount Corporation REPRESENTATION For Claimant: Andrew A. Mignosa. Pro Se. For Respondent: Bruce A. Campbell and Ina N. Otto of Olde Discount Corporation. CASE INFORMATION Statement of Claim filed: January 22, 1993. Claimant's Submission Agreement

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas E. Sullivan, Claimant vs. Dain Rauscher Incorporated, Respondent Case Number: 01-00919 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant: Scott C. Breneman, Esq. Breneman Law Firm 1601 Second Avenue, Suite 1080 Seattle, WA 98101 For Respondent: James L. Robart, Esq. Lane Powell Spears Lubersky 1420 Fifth Avenue, Suite 4100 Seat

N*JLS:D. AWARD NATIONAL ASSOriATTOTM OF SRrTTRrnPS DP A I FKS. In the matter of the Arbitration Between Nanw n Marvin Age* NASD Arbitration No.93-G0224 Shcainoo Lehman Brothers* IDC. Frederick S. Btick For Claimant: California REPRESENTATION Paul R Youn& Securities Arbitration Group, Inc., Marina dd Key. For Respondent Philip A, McUod, Esq., Kceal, Young & Logan, San Francisco, California flASE INFORMATION Statement of Cl

NA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Jourdain B. DeWerd Steven P. Cesinger NASD Arbitration No.93-00216 pf Respondent Sutro & Co., Inc. REPRESENTATION For Claimants: Michael J. Faber, Esq., Yuhl, Faber & Yuhl, Santa Monica, California For 'Respondent: Thomas J. Kavaler, Esq., Cahilll Gordon & Reindel, New Yoric, New York Statement of Claim filed: January

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edwin Rosen & Betty Rosen 93-00214 Name of Respondents Great Western Financial Securities Bryan Powell In a claim filed with the National Association of Securities Dealers, Inc. on January 21, 1992, Claimants Edwin & Betty Rosen, who appeared Pro Se, alleged in January, 1992, they were in possession of two maturing Certificate

N.A.S.D. ,-iWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 93-00209 Name of Respondent John D. Porter, m REPRESENTATION For Claimant, Prudential Securities, Inc. ("Claimant"), Gilbert W. Boyce, Esq. of Kutack Rock located in Washington, D.C. For Respondent, John D. Porter, m, ("Rtspondent") Robert M. Buschmann, Esq., of Gage Finneran & Buschmann locais

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Esther Shurkin 93-00204 Name of Respondents Ian R. Hosang A.S. Goldmen & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 20, 1993. Claimant Esther Shurkin. who appeared Pro Se, alleged that on December 14, 1992, Ian R. Hosang told Claimant's husband, Israel Shurki

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) District 65 Retirement Trust for Members of the Bureau of Wholesale Sales Representatives NBA Residual Benefit Fund The Bureau Foundation NBA Special Purpose Fund Bureau of Deferred Compensation Fund 93-00200 Name of Resoondent(s) Prudential Securities Inc William L. Kicklighter, Jr. Name of Third Party Respondent