PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Frank & Virginia Russo Jtwros Award vs. #93-02012 Name of Respondents Gruntal & Co., Inc. William Torrey CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 20, 1993, Claimants Frank & Virginia Russo who appeared Pro-Se, _ alleged that on May 17, 1990 Respondent Wil

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William A. Lucas and Delores M. Lucas NASD CASE #93-02007 Name of Respondents Prudential Securities Inc Greg Martino John Beisner REPRESENTATION For Claimant: Milford L. McBride HI, Esq. of the law firm of McBride and McBride, P.C. For Respondent: Foster S. Goldman, Jr., Esq. of the law firm of Klett Lieber Roo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Jack and Rochelle Kluger 93-01996 Name of Respondent(s) J. Gregory & Company, Inc. Michael Hundert REPRESENTATION For Claimants: Joseph Zelmanovitz, Esq. of Stahl & Zelmanovitz. For Respondents J. Gregory & Company, Inc. ("J. Gregory") and Michael Hundert {"Hundert"): Jeffrey S. Rosen, Esq. of De Martino Finklestein

FEB-09-1994 10:24 FROM NflSD-PRB3TRftTION-CNICFGO TO 12128583974 P. 02 NATIONAL ASSOCIATION OF In ttee Matter of the Arbitration Between John and Susan Koral & K & H R^anagement, a General Partnership and nf Rocky Mountain Securities & Investment*, Inc., Terry Steen and Eric Blockhos John and Susan Koral & K & represented by Richard E. Romeo, H Management, a General Partnership ("Claimants") were Esq., Boulder, Colorado. L Se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael A. Young 93-01990 Name of Respondents Van Clemens & Co. Kennedy, Mathews, Landis, Healy & Pecora Donald Leslie Johnson REPRESENTATION For Claimant at the hearing: Gregory L. WUmes, Esq. and Mark J. Brioi, Esq. of Briol & Wilmes, Minneapolis, Minnesota. For Respondent Van Clemens & Co. at the hearing: John R. Dor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name nf Claimant (s) Michael Donnelly NASD Arbitration vs. #93-01988 Name of Respondent^) Sutro & Co., Inc. REPRESENTATION For Claimant: Morris J. Bailer, Esq., Morris, Reid & Sheehy, San Francisco, California For Respondent: Abe Lampart, Esq., Sutro & Co., Inc., San Francisco, California CASE INFORMATION Statement of Claim filed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ayoob Khodadadi, (Claimant) vs. Colernan & Company Securities, Inc. and Sherwin M. Zanjanian, (Respondents) Case Number: 00-03687 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ayoob Khodadadi, hereinafter referred to as "Claimant": Alice K. Jump, Esq., Attorney at Law, New York, NY. Respondent, Coleman & Company Securities, Inc. ("Coleman"), did not ap

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Christy Sargent and Erich Seelye (JTWROS) 93-01978 Name of Respondents Olde Discount Corporation Brian J. Herskovitz CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 18, 1993, Claimants Christy Sargent and Erich Seelye, who appeared Pro Se, alleged that Respondent Olde Discount

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Susan Moss 93-01973 Name of Respondents Prudentiai-Bache Securities Inc. Roy H. Savarick REPRESENTATION Claimant, Susan Moss, ("Moss"), was represented by Robert Wayne Pearce, Esq. of Lerner & Pearce, P.A., Ft. Lauderdale, FL. Respondents, Prudential-Bache Securities Inc., ("Prudential"), and Roy H. Savarick, ("Savarick

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS i»* In the Matter of the Arbitration Between Name of Claimant Griffin Financial Services 93-01944 Name nf Respondent Jonathan Mark Jennings CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 14, 1993, Claimant Griffin Financial Services, through it's representative, Gary A. Virnick, Compliance Administrator, alleged that Respondent Jonat