N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William F. Schweiker & Karyn Schweiker 93-00446 Name of Respondents Prudential Securities, Inc. Frank Gates Denise Benedict CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 8, 1993, Claimants William F. and Karyn Schweiker, who appeared Pro Se, alleged that on August 7,

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Stanley Crume and Frances Grume and 00-05045 Minneapolis, Minnesota Discover Brokerage Direct n/k/a Morgan Stanley Dean Witter Online, Inc. REPRESENTATION OF PARTIES Stanley Crume and Frances Crume ("Claimants") were represented by Stanley Crume. Discover Brokerage Direct n/k/a Morgan Stanley Dean Witter Online, Inc. ("Respondent") was represented

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name Janet Trowe Fauks; William K. Fauks; Janet T. Fauks Trust; William Karl Fauks Trust and W.K. Fauks, Inc. Case No. 00-00507 Prudential Securities Incorporated; Robert P. Elliott; and Billy Wayne Cobb Claimants Janet Trowe Fauks; William K. Fauks; Janet T. Fauks Trust: William Karl Fauks Trust and W.K. Fauks, Inc. were represented by Stephen A. Zrenda

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mario Rastrelli 93-00445 Name of Respondents G K Scott & Co. Inc. Comprehensive Capital Corp. Elizabeth A. Kenney REPRESENTATION For Claimant Mario Rastrelli ("Rastrelli"): Charles E. Steinberg, Esq., Stuart, Fl. For Respondents G K Scott & Co. Inc. ("GKS"), Comprehensive Capital Corp. ("CCC"), and Elizabeth A. Kenn

N.A,S.D. AWARD NATIONAL ASSOCIATION OF SECU10HES DEALERS In the Matter of tlie rrf r L. Cofea, Joint Tenants Mb. 93-00436 A.G. & Sow, Inc. Caidwdl, For SlespoedenU; Esq., of Hwskcll, Doncteon. Beaiman, Adams, Williams & , B&q., Litigation Counaci, A.G. Bdwazds & Sons, Inc., St. Febmary 4, 1993. ' SobntissJon AgrceoxsaA signed om Bebnaoy 18 t 1993. Joto Stot&roe^ of Answer at^exhii^^ . fidwa^ & Sons» loc/s Subm

N.A.S:D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Lyons, Jr. 93-00434 Name of Respondents Michael P. Hegarty Jeremiah J. Hegarty Financial Securities Network, Inc. Hyannis Trading Advisors, Inc. REPRESENTATION For Claimant Robert Lyons, Jr. ("Claimant"): Anthony J. Horn, Attorney at Law, Philadelphia, PA Respondent Michael P. Hegarty ("M. Hegarty") represent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rebecca Eaton 93-00433 Name of Respondents Prudential Securities Inc, Guy Luedke REPRESENTATION For Claimant, Rebecca Eaton ai the hearing: Rebecca E. Bender, Esq. of Rebecca Bender & Associates, P.A., Minneapolis, Minnesota. For Respondent, Prudential Securities, Inc. at the hearing: Peter Byer, Esq. of Prudential Secu

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Paul G. Korte 93-00431 Name of Respondent Kober Financial Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 4, 1993, Claimant Paul G. Korte, through his counsel W. Woody Schlosser, Esq. of Puriceili & Schlosser, St. Louis, MO, alleged that Respondent Kober Financia

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION CF SECURITIES DEALERS In the Matter of the Arbitration Between Christopher N. Wilson 93-00430 Naia« Kober Financial Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 4, 1993, Christopher Wilson, through his counsel W. Woody Schlosser, Esq. of Puriceili & Schlosser, St. Louis, MO, alleged that Respondent Kober Financial Coip. misled him into

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fred Viertel 93-00422 Name of Respondents First American Securities, Inc. A. Jack Burney, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 4, 1993, Claimant Fred Viertel, who appeared Pro Se, alleged that he bought Scottsville Ky. Health Fac. Rev. with a trade date of J