NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF ARBITRATION BETWEEN PRUDENTIAL SECURITIES INCORPORATED, Claimant No. 96-02937 v. Fred L. PierdoIIa, _ Respondent _ REPRESENTATION CW PAttTIKS The Claimant Prudential Securities Incorporated was represented by Linda A. Gallagher, Esq., of Gomberg Kane & Fischer, Ltd. located in Chicago, Illinois. Respondent Fred L. PierdoIIa was unrepresented by counsel. r.ASP. TNFOPTVf ATTON

AWARD NASD Regulation, Inc. Office of Dispute Resolution IN THE MATTER OF ARBITRATION BETWEEN PRUDENTIAL SECURITIES INCORPORATED, Claimant v Case Number 96-02933 JAMES E. VONDERGOLTZ, Respondent REPRESENTATION OF PARTIES Claimant, Prudential Securities Incorporated was represented by Steven P. Gomberg, Esq. of Gomberg, Kane & Fischer, Ltd., Chicago, Illinois. Respondent, James E. Vondergoltz was represented by Leonard J. Meyer, Esq. of Z

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Harold A. Levin, Claimant, v. No. 96-02928 J.E. Liss & Company, Inc., and Dennis Waisman, Respondents. REPRESENTATION OF PARTIES Claimant Harold A. Levin ("Claimant") was represented by Paul R. Erickson, Esq. and Colleen M. Fleming, Esq< of Gutglass, Erickson & Bonville, S.C. located in Milwaukee, Wisconsin. Respondents J.E. Liss & Company,

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant James 5. Pritula 96-02926 Names of Respondents Fin-Atlantic Securities, Inc. Jerry Sunnan REPRESENTATION For Claimant, James S. Pritula (*Pritula*): pro se. For Respondents, Fin-Atlantic Securities, Inc. ("Fin-Atlantic") and Jerry Sunnan ( M Sunmn tt )L : Earnest H. DeLong, Jr., Esq. of DeLong, C

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Florian Suchocki and Betty Suchocki as Trustees for the Betty Suchocki Revocable Trust and the Florian Suchocki Revocable Trust Name of Respondent Linus Shing Pui Lau Case No. 00-05111 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Florian and Betty Suchocki as Trustees for the Betty Suchocki Revocable Trust

Stipulated Award NASD Dispute Resolution, Inc. he Matter of the Arbitration Between Name of Claimant Wachovia Securities, Inc. Case No. 00-00515 Names of Respondents Morgan Keegan & Company, Inc. Mark M. Headrick Larry L. Crowell Warren L. Edge REPRESENTATION OF PARTIES For Wachovia Securities, Inc. ("Wachovia"), hereinafter referred to as "Claimant": Steven L Manchel, Esq. of Manchel & Associates, Newton, Massachusetts. For Resp

N.A.S.D. Regulation AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant A. J. Low, Jr. 96-02923 Name of Respondent Piper J affray (nc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on July 9, 1996, claimant A. J. Low, Jr. ("claimant"), who appeared Pro Se, alleged that respondent Piper Jaffray, Inc. ("Piper Jaffray") made unsuit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul Holthouse / 96-02917 Name of Respondents Gilbert Marshall & Co. Inc. Michael Usher John Guyette Dick Tyler Ted Lauer Thomas Patrick Meehan Doug Glaser Dan Lehl CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on luly 8, 1996, claimant Paul Holthou

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Thomas W. Lentz / Name of Respondents A.S. Goldmen & Company, Inc. Anthony S. Almeida Marvin P. Mullins, III 96-02912 REPRESENTATION For Claimant Thomas W. Lentz ("Claimant") appeared Paul J. Sussman, Esq., a sole practitioner with offices located in Chicago, Illinois. For Respondents A.S. Goldmen & Company, Inc. ("ASG"), Anthony S. Almeida ("Almeid

N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants • . . . . . Carolyn Ransome and John D. Ransoine in 96-02909 Name of Respondents Smith Barney Inc. Richard T. Gendelman REPRESENTATION Claimants Carolyn Ransoine and John Ransome ("Claimants") were represented by Adam S. Doner, Esq., Davis, Gordon, Doner & Chandler, West Palm Bea