N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alicia M. Czorny 92-03994 Name of Respondents Legg Mason Wood Walker, Inc Gary J. Koepenick REPRESENTATION For Claimant Alicia M. Czorny ("Claimant"): Foster S. B. Friedman, Attorney at Law For Respondents Legg Mason Wood Walker, Inc. ("Legg Mason") and Gary J. Koepenick ("Koepenick"): Dana N. Pescosolido, Esq. of the l

N.A.S.D. AWARD NATTOMAT ASSOCIATION OF SECURim?*; nFAT.FRS. TNC. In the matter of the Arbitration Between Name of Claimant Roger McCosker NASD Arbitration vs. #92-03991 Manie of Respondents Noddings & Associates, Inc. Noddings Investment Group, Inc. REPRESENTATION For Claimant: Mark J. Romeo, Esq. San Francisco, California For Respondents: Daniel J. Voelker, Esq. Seyfarth, Shaw. Fairweather & Geraldson. Chicago, Illinois CASE

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joanne and Edward McCormick 92-03990 Name of Respondents Horace M. Lowman, Jr. William F. Haneman, Jr. Joseph C. DeNicola CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 25,1992, Claimants Joanne and Edward McCormick, who appeared Pro Se, alleged that at approx

Consent Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Overseas Oil Company-Bahamas LTD., Claimant vs. Prudential Securities Inc., Claude Benzaquen, Juan Garcia and Andrew Banks, Respondents Case Number: 00-05016 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Overseas Oil Company-Bahamas LTD ("Overseas Oil") hereinafter referred to as "Claimant": Jeff Dennis Ferentz, Esq., Greenbaum & Ferentz LLP, Newport B

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sue E. Biggs 92-03986 Name of Respondent A.G. Edwards & Sons, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 25, 1992, Claimant Sue E. Biggs, through her husband, Ed Biggs, alleged that Respondent A.G. Edwards & Sons, Inc. has withheld her last payment regardi

PU3LIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Maxine M. Marcus 92-03978 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 24, 1992, Claimant Maxine Marcus, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. through it

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential-Bache Securities Inc. 92-03976 Name of Respondent Geri Kubiesa REPRESENTATION Claimant, Prudential-Bache Securities, Inc. was represented by Jill Byrne, Esq. of Kutak Rock, Washington, D.C. Respondent, Geri Kubiesa was represented by Gregory A. Friedman, Esq. of Friedman & Holtz, P.C., Chicago, Illinois. CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Donald Johnson for the Estate of Clarence A. Johnson vs. Case # 92-03974 Name of Respondents Shearson Lehman Brothers, Inc. David Hornburg John P. Bevilaqua REPRESENTATION For Claimant, David Johnson, Bruce Garfield from Investors Arbitration Services, Inc. For Respondent, Shearson Lehman Brothers, Inc. ("Shearson") and Dav

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter "of the Arbitration Between Name of Claimants Josef Blatstein and Helen Blatstein 92-03973 Name of Respondents Kirlin Securities, Inc. Claudia R. Roberts CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 24, 1992, Claimants Josef and Helen Blatstein, who appeared Pro Se, alleged that on July 2, 1991 they pu

N.A.S.D. AWARD NATTONAT ASSOCIATION OF SF.CURTTTT^ PF V ™*- TNG - - In the matter of the Arbitration Between Name of Claimants) Donnee Casper, individually; Donnee Casper, Ph.D., P.S.; Donnee Casper, PhD., P.S. Defined Benefit Pension Plan; and Donnee Casper, Trustee NASD Arbitration No.92-Q3971 Name of Respondent^) Prudential Securities, Inc., RFPRRSFNTATTON For Claimant: Jack G. Orr, Esq., Harris, Orr & Wakayama, Seattl