N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marv Garrett 93-00408 Name of Respondent Prudential Securities Incorporated, f/k/a Prudential-Bache Securities. Inc. REPRESENTATION For Claimant: Mary Garrett ("Garrett") was represented by Reid Mclnvaie, Esq. of Mclnvale & Mclnvaie, Houston, Texas. For Respondent: Prudential Securities Incorporated, f/k/a Prudential-Bache

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants James Alan Lengtel Emma Lengtel vs. Case # 93-00406 Name of Respondents Olde Discount Corporation Tony Curnow REPRESENTATION Claimant, James Alan Lengtel ("Claimant") appeared pro se. For Respondents, Olde Discount Corporation ("Olde") and Tony Curnow ("Curnow"), Ina N. Otto. Esq., in-house counsel of Olde. CASE IN

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Nancy Nechay Case No. 00-05031 Merrill Lynch Pierce Fenner & Smith, Inc Hearing Sitfv Baltimore, Maryland ° Claimant, Nancy Nechay ("Nechay"), hereinafter referred to as "Claimant": Steven Schwartz, Esq., Dover, Delaware. Respondent, Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch") hereinafter referred to as "Respondent": Kevin T. Duffy, Jr., Esq., Office

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Allan N. Goberman 93-00405 NamejpfRespondenfts Merrill Lynch Pierce Fenner & Smith Inc Gregory H. Rutter REPRESENTATION For Claimant Allan N. Goberman ("Claimant"): David L. Williams, Esq., of the law firm of Morgan, Hallgren, Crosswell & Kane, P.C., Lancaster, Pennsylvania. For Respondents Merrill Lynch Pierce Fenner & Smi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sandra Kaye Gardner 93-00404 Name of Respondents Charles P. Nelson Craig Wolpert Benefits Corporation Equities, Inc. Benefits Communications Corporation Great West Life Assurance REPRESENTATION Claimant Sandra Kaye Gardner ("Claimant") was represented by Richard A. Salzman, Esq. of Kator, Scott & Heller. Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph Gutstein 93-00400 Name of Respondent Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 3, 1993, Claimant Joseph Gutstein, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. failed to notify him of a pending redemption of Ame

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants J.C. and Jeanette Lindsey vs. Case #93-00399 AWARD Name of Respondents F.N. Wolf & Co., Inc. William H. King CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 3, 1993, Claimants J.C. and Jeanette Lindsey who appeared Pro Se, alleged that in January, 1992, Cla

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Stalbaum 93-00398 Name of Respondents Dean Witter Reynolds Inc. Joseph Rovner CASE SUMMARY In a claim filed with the National Association of Semntfes Do Jers, Inc. on Febniary 3, 1993, Claimant Robert Stalbaum who appeared Pro Se, alleged that he had an IRA account with Respondent Dean Witter Reynolds, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant G. Donald Ritter, DVM 93-00394 Name of Respondents Bull & Bear Securities, Inc. James Joseph Dempsey REPRESENTATION Claimant G. Donald Ritter, DVM ("Claimant") appeared pro se. Respondents Bull & Bear Securities, Inc. ("BBSI") and James Joseph Dempsey ("Dempsey") were represented by Thomas J. McCabe, Attorney At Law. CA

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or Arbitration Between Name or Claimant Theodore F, Wilson vs. Case #93-00391 Name or Respondents Shearson Lehman Brothers. Inc. and David Drinan REPRESENTATION For Claimant: Joseph P. Cannichael. Esq. For Respondent: RichelleS. Kennedy, Esq., from the law firm ofBingham. Dana & Gould. CASE INFORMATION Statement of Claim filed: January 30, 1993; Amended o