N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In che Matter of the Arbitration Between Name of Claimant Dennis Johnson and 92-03900 Name of Respondent Charles Schwab & Co., Inc. REPRESENTATION OF PARTIES Claimant Dennis Johnson was represented by Lloyd S. Clareman, Esq., New York, New York. Respondent Charles Schwab & Co., Inc. was represented by Gilbert R. Serota, Esq. of Howard Rice Nemerovski Canay Robertson & Falk, San

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George Popper, Executor of the Estate of Marie Singer, Deceased 92-03897 Name of Respondents Prudential Securities Inc Anthony A. Noble REPRESENTATION For Claimant George Popper, Executor of the Estate of Marie Singer, Deceased: Anthony J. Ferrara, Esq., of Polstein & Ferrara. For Respondents Prudential Securities Inc. ("Pr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Barbara A. Webb Case No. 00-05009 Names of Respondents Mark Joseph Caravaglio Michael Jude Caravaglio Joseph Gunnar & Co., LLC Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Barbara A. Webb ("Webb"), hereinafter referred to as "Claimant": J. Pat Sadler, Esq., Sadler & Hovdesven, P.C., Atlanta, Georgia. For Mark Joseph Carav

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Steven Cohan 92-03896 Name of Respondent Oppenheimer & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 17, 1992, Claimant Steven Cohan, by and through his counsel William C. Williams, Esq., of Bell, Metzner, Gierhart & Moore, S.C., Madison, WI, alleged that in Septe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carol Miller 92-03890 Name of Respondent Jeff Heuss CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 17,1992, Claimant Carol Miller, who appeared Pro Se, alleged that Respondent Jeff Heuss misled her into purchasing Royalty Mortgage Income Fund which she was told would yield 11

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimants Meivin and Karen Fussy and 92-03885 Name of Respondents Hayne, Miller & Farni, Inc., William S. Wright, Jr. REPRESENTATION OF PARTIES Meivin and Karen Fussy ("Claimants") were represented at the hearing by Richard I. Diamond, Esq. of Diamond & Grady, Minneapolis, Minnesota. Respondent Hayne, Miller & Farm, Inc. ("Hay

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between . Name of Claimant Sherman Fitch 92-03878 Name of Respondent PNC Securities Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 17, 1992, Claimant Sherman Fitch who appeared Pro Se, alleged that he borrowed $39,000.00 from Pittsburgh National Bank and as collateral Claimant was to

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carson Ferri- Grant 92-03867 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Jacqueline Strauss REPRESENTATION For Claimant: Carson Fern-Grant appeared pro-se. For Respondents Merrill Lynch Pierce Fenner & Smith and Jacqueline Strauss: Elizabeth G. Armstrong, Esq. of Merrill Lynch Pierce Fenner & Smith. CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gary Aharoni 92-03866 Name of Respondents Ladenburg Thalman & Company, Inc. Michael Zaroff REPRESENTATION For Claimant: Gary Aharoni appearing pro se. For Respondents: Norman S. Lawi, Esq. of Ladenburg, Thalman & Company. CASE INFORMATION Statement of Claim filed: November 13, 1992. Claimant's Submission Agreement s

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Iris Solow 92-03865 Name of Respondents Comprehensive Capital Coip. Thomas G. Barrett Mark W. Murray FredCirillo REPRESENTATION For Claimant Iris Solow ("Claimant"): Ralph A. Gant, Esq., a sole practitioner. For Respondents Comprehensive Capital Corp. ("CCC"), Thomas G. Barrett ("Barrett"), Mark W. Murray ("Murray")