N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lawrence Phillips and Helen Phillips 91-04019 Name of Respondents =™=™»e====^ . . ^_ Paul Eidsness and John Kinnard & Company REPRESENTATION For Claimants at the hearing: John F. Archer, Esq. of Bangs, McCullen, Butler, Foye & Simmons, Rapid City, South Dakota. For Respondents at the hearing: Ted S. Meikle, Esq. of

..^qn-ass I -=": -N-CNI C.-GG "G '-S057£454Sa - . 33/1 - N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Patricia M. Cosimaao, as Trustee of the Elchison and Associates Pension Trust 91-04015 Name of Respondents Prudential Securities Incorporated; D.H. Blair & Company: Paragon Capital Corporation; Global America Inc.; Michael J. Markowski; Joseph DiCandio; Donna Mills; Anthon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jon A. Travers, (Claimant) vs. SG Cowen Securities Corporation, (Respondent) Case Number: 01-00855 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Jon A. Travers, hereinafter referred to as "Claimant": Kimberiy Zimmer, Esq. and Paul M. Predmore, Esq., Green & Seifter, PLLC, Syracuse, NY. Respondent, SG Cowen Securities Corporation, hereinafter referred to as "Res

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-04012 AWARD In the Matter of the Arbitration Between Sean F. Holland Claimant vs. Kochcapital Steven Wyman James J. Caprio Schneider Securities, Inc. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 18, 1991, Claimant, Sean F. Holland, who appeared Pro Se, alleged that in December 1990 Respondent

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Miner of the Arbitration Between ~ Name o Wamn C. DeLano TTBB Warren C. DeLano Warren C. & Elaine OeLano 91-04008 Name of RMnondents Prudential Securities Inc Robert Buescher KEFRESKNTATIQN For Claimants Warren C. Delano, TTEE and Wnrren and Elaine Delano ("Claimants") appeaitd Gregory D. Seeiey, Esq. and Carter Dodge, Esq. of Seeley Savidge A Aussem inc^trd in Clevelan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Wen & James Chin-Ming Chang, Sue-Mei Hwang vs. t 91-04007 Name of Respondents Shearson Lehman Brothers. Inc. Nick Cuneo, Jr. CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on December 17. 1991, Wen Chang, Sue Mei Hwang and James Chin-Ming Chang, who appeared Pro Se, alleged

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marcella Newman Name* of Respondents J4irphy Favre Phillip Kimtrel National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 91-04006 For Claimant: John P. Crowley For Respondent, Murphey Favre: Philip Mortenson, Esq. of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Karla Wright as personal representative for the estate of Karl Hoshor Case No. 91-04005 Name of Respondent(s) Dean Witter Reynolds, Inc. ~ * REPRESENTATION For Claimant, Karla Wright as personal representative for the estate of Karl Hoshor ("Hoshor"): George Fianjola, Esq. of Allen, Dyer, Doppelt r Franjola & Mil

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Stanley K. & Roberta M. Saunders 91-04002 Name of Respondent(s) Tucker Anthony Incorporated Hamilton Investments Charles Turner REPRESENTATION For Claimants Stanley K. & Roberta M. Saunders: Anthony Trogan, Esq. of Weisman, Trogan, Young & Schloss, P.C., Birmingham, MI. For Respondent Tucker Anthony, Inc.: Khrishna D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Name of Claimant(s) Michael D. Myers vs, 91-03998 Kama of Respondent (s) Shearson Lehman Brothers, Inc. Eric A. For Claimant: Craig B. Jorgensen, Esq., Kitvtel & Anderson, Los Angeles, California For Respondents i Robert H. Logan, Esq. and Susan K. Pitre, Esq., Keesal, Young & Logan, Long Boach, California Statement of Claim filed: December 17,