PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of ttie Arbitration Between Name of Charles Passantino 92-04033 Name of Respondents Halpert & Co. Janet Stamato CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 1, 1992, Claimant Charles Passantino, who appeared Pro Se, alleged that Respondent Janet Stamato, while employed by the Respondent firm Halpert &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name -of Claimants George R. Gross Andree L. Gross No. 92-04029 Name of Respondent Olde Discount Corporation REPRESENTATION OF PARTIES For Claimants: Daniel Bukovac, Esq., of Watson, Ess, Marshall & Sngasss, Kansas City, Missouri. For Respondent: Bruce A. Campbell, Esq., of Olde Discount Corporation, Detroit, Michigan. CASE INFORMATION Statement of Claim filed: November 27

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barry Kazatsky and Beverly Kalisher 92-04018 Name of Respondents Bear Stearns & Company Cowen & Company Jerome S. Glickman REPRESENTATION For Claimants Barry Kazatsky ("Kazatsky") and Beverly Kalisher ("Kalisher"): Mitchell H. Cobert, Esq. For Respondents Bear Stearns & Company ("Bear Stearns") and Jerome S. Glickm

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Fran Planinsek and 00-05020 Denver, Colorado Name of Respondents Fordham Financial Management, Inc. Wexford Clearing Services Corporation Osama Man REPRESENTATION OF PARTIES Fran Planinsek ("Claimant") was represented by G. Roger Bock Esq., of Franscona, Joiner, Goodman & Greenstein, Boulder, Colorado. Fordham Financial Management, Inc. ("Ford

ttffiuc t N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the" Arbitration Between Name of Ciaimants Robert and Ann Fischer 92-04011 Name of Respondents Berkeley Securities Corporation Avin E. Bakal CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on November 27. 1992. Claimants Robert and Ann Fischer, who appeared Pro Se. alleged that on June 12. 1992 Claimant Rob

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph L. Artiga Joseph M. Artiga Bamfec Corp. Conitex USA, Inc. 92-04010 Name of Respondents Prescott, Ball & Turben, Inc. Donald A. Ballarini REPRESENTATION For Claimants: David Furr, Esq. For Respondents: Daniel Roy, Esq. of Coffield Ungaretti & Harris. CASE INFORMATION Statement of Claim filed: November

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Helen Ketzner 92-04008 Name of Respondent(s) Berkeley Securities Corporation Marsha A. Bakal REPRESENTATION Claimant appeared pro se. For Respondent Berkley Securities Coip.: Phyllis Henderson, Esq. in-house counsel at Berkley Securities Corp. Respondent Marsha Bakal appeared pro se. CASE INFORMATION

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Allen Herzlich 92-04007 Name of Respondent Prudential Securities Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on November 27, 1992, Claimant Allen Herziich. who appeared Pro Se, alleged that in April, 1987 Respondent Prudential Securities, Inc., by and through Warren Wes

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Cowen & Company 92-04001 Name of Respondent^ si Thomas M. Dean REPRESENTATION For Claimant: Mathew Farley, Esq. of Shanley & Fisher. For Respondent: David Touger, Esq. of Peluso & Touger. CASE INFORMATION Statement of Claim filed: November 23, 1992. Claimant's Submission Agreement signed on: November 23, 1992. St

N.A.S.T). AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimantisi Steve Shirley 92-04000 Name of Respondents) Smith Barney Harris Upham & Co.. Inc. Mike Scarbrough REPRESENTATION For Claimant Steve Shirley ("Claimant"): Steve Shirley appeared pro se. For Respondents Smith Barney, Harris Upham & Co., Inc. and Mike Scarbrough ("Respondents"): David S. Friedman. Esq. from the firm of Smi