N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jay Stuart Radetsky and 93-02526 Name of Respondents Shearson Lehman Hutton, Inc. and Russell Green REPRESENTATION OF PARTIES Jay Stuart Radetsky ("Claimant") was represented by Anthony J. Kohler, Esq., Denver, Colorado. Shearson Lehman Hutton, Inc. and Russell Green ("Respondents") were represented by Alejandro S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants James L. Vancina and Joyce E. Vancina and 93-02511 Name of Respondents Chatfield Dean Co.. Inc. and Steven Walsh REPRESENTATION OF PARTIES James L. Vancina and Joyce E. Vancina ("Claimants") were represented by Leo I. George, Esq., Washington, D.C. Chatfield Dean Co., Inc. ("Chatfield 11 ) was represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Craig Fagerness 93-02488 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Jeffrey Ament CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 24, 1993, Claimant Craig Fagerness, who appeared Pro Se, alleged that when he opened his account with Respondent Jeffrey Ament l

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lynn Christina Reed vs. Award #93-02479 Name of Respondents Hanifen, Imhoff Inc. Chatfield Dean & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 24, 1993, Claimant Lynn Christina Reed who appeared Pro-Se, alleged that Respondents Chatfield Dean & Co.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Millennium Securities Corp., (Claimant) vs. Vincent Chaz Ficci and Greg Mezzapesa, (Respondents) Case Number: 00-03706 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Millennium Securities Corp., hereinafter referred to as "Claimant", did not appear at the hearing in this matter. Previously represented by: Rick Cardillo, Esq., Millennium Securitites Co

N.A.S.D. Final Order NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Pete DeKalb, Sue Balch, Linda Busch and Alan DeKalb and 93-02474 Name of Respondent H.D. Vest Investment Securities, Inc. REPRESENTATION OF PARTIES Pete DeKalb, Sue Balch, Linda Busch and Alan DeKalb ("Claimants") were represented by Charles M. Hamilton, Esq. of the Law Offices of H. Dawson French, Dallas, Texas.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Patricia K. Wherley NASD Arbitration No. 93-02472 v. Name of Respondent Prudential Bache Securities, Inc. REPRESENTATION For Claimant: Steven M Green, Esq. - San Diego, California For Respondent: Richard W. Snairl, Esq. - Keesal Young & Logan - Long Beach, California CASE INFORMATION Statement of Claim filed: June

N.A.S.D. FINAL ORDER In the Matter of Arbitration Between Name of Claimant William E. Porter, m 93-02463 Name of Respondent Alex Brown & Sons, Incorporated REPRESENTATION For Claimant William E. Porter, HI ("Porter"): Jay H. Sandak, Esq. of Sandak Friedman Sommer, MacMillan & Lucas, located in Stamford, CT. For Respondent Alex Brown & Sons, Incorporated ("Alex Brown"): Daniel E. Mclntyre, Esq., Assistant General Counsel, Alex Brown, located

N.A.S.D. AWARD NCTONAI ASSOCIATION OF SF.CURTTTFS DFAT.F.RS. INC. In the matter or the Arbitration Between Name nf Claimant William M. L^/ette Name of Respondents Willie Jenkins Peter DeVries REPRESENTATION NASD Arbitration No.93-02461 For Claimant: Claimant appeared in pro per. For Respondents: Respondents appeared in pro per. CASE INFORMATION Statement of Claim filed: June 23, 1993 Claimant's Submission Agreement signed: Ju

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rajiv and Sylvia Enand 93-02457 Name of Respondents Hibbard Brown & Co., Inc. Joseph Francis Chester CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 22, 1993, Claimants Rajiv and Sylvia Enand,-who appeared Pro Se, alleged that on the night of March 21, 1991, Respon