N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants A. Louis and Alice W. O'Connor 93-00517 Name of Respondents American Bond Group, Inc. Aleksandr Shvarts REPRESENTATION For Claimants, A. Louis and Alice W. O'Connor ("the O'Connors"): pro se. For Respondents, American Bond Group, Inc. ("ABG") and Aleksandr Shvarts ("Shvans"): pro se (see "Other Issues"). CASE INFORMATI

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paine Webber, Inc. 93-00511 Name of Respondent Paul B. Ciceri REPRESENTATION For Claimant, PaineWebber, Inc., ("PW"): Joseph A. Vallo, Esq. of PaineWebber, Inc. For Respondent, Paul B. Ciceri: pro se. CASE INFORMATION Statement of Claim filed: 2/10/93 Claimant's Submission Agreement signed on: 2/4/93 by Gary Stegela

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants H.D. Vest, Inc., H.D. Investment Securities, Inc. and Herb Vest and 93-00506 Name of Respondent Kenneth M. Greene REPRESENTATION OF PARTIES H.D. Vest, Inc., H.D. Investment Securities, Inc. and Herb Vest ("Claimants") were represented by Joseph W. Geary, Esq. of Geary, Porter & West, Dallas, Texas. Kenneth M. Gre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Larry E. Finkemeier, IND & TTEE/ Burgess Mechanical Pension & Profit Sharing Plan No. 93-00494 Name of Respondents Michael Johnson Ian Ken Wright REPRESENTATION OF PARTIES For Claimants: Carl Chinnery, Esq., Lees Summit, Missouri. For Respondents: James C. Lieber, Esq., of Mitchell, Kristl & Lieber, Kansas City, Missouri. CASE INFORMATION Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Darren A. Lowe 93-00490 Name of Respondent High Yield Management Securities, Inc. CASE SUMMARY • In a claim filed with the'National Association of Securities Dealers, Inc. on February 9, 1993, Claimant Darren A. Lowe, who appeared Pro Se, alleged that on February 9, 1993 Respondent High Yield Management Securities, Inc., by

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Mitchell Namy 93-00485 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 9, 1993, Claimant Michael Namy, who appeared Pro Se* alleged that he started a trading account in January 1980 with Respondent Dean Witter Reynolds, Inc. where

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert E. Bernard 93-00484 Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 9, 1993 Claimant Robert B. Bernard, who appeared Pro Se, alleged that at approximately 12:40 p.m. on Tuesday, January 19, 1993 he placed a buy order on Respondent's Fidelity Brokerag

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold and Shirley Ross, ttees. 93-00483 * Name of Respondents Prudential Securities, Inc. Gnintal&Co.,Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 9, 1993, Claimants Harold and Shirley Ross, who appeared Pro Se, alleged that Respondents Gmntal & Co., Inc. and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Findlay 93-00481 Name of Respondents MDS Securities, Inc. MDS of New Jersey, Inc. Edward Capozzi William Monteith Wayne Monteith Robert Leonard James Morrissey REPRESENTATION For Claimant William Findlay ("Claimant"): Morgan W. Bentley, Esq. For Respondents MDS Securities, Inc., and MDS of New Jersey

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS David W. Hammel, Claimant/Counterrespondent v. No. 93-00474 Stratton Oakmont, Inc. Joel Grant Respondents/Counterclaimants REPRESENTATION OF PARTIES For Claimant/Counterrespondent ("Claimant"): James A. Walker, Esq., of Tripiett, Woolf & Garretson, Wichita, Kansas. For Respondents/Counterclaimants ("Respondents"): Jacob Zamansky, Esq. of Finkelstein, Bruckman, Wohl, Most & Roth, N