SENT BY: 1- 3-34 ; 12:15PM ;\ASO ARBITRATION DP1> -12 £58 4141 ;# 5/22 -—_ MA.S.D. AWARD NATIONAL ASSOCIATION OF SFrTTRJTrES nKALFRS. INC. in the matter of the Arbitration Between Name nf Prudential Securities Incorporated Arbitration No. 93-01219 Mam* nf Regpnnrignc Cameron Conant and M.G. Palencia, JTWROS For Claimant: Joseph M, McGill, Esq. and Martin Hunger, Bsq* f Prudential Securities Incorporated, New York f Mew York ?

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Herben D. Sturman and Raymond Shainberg, Co-Executors of the Estate of Louis Sturman, Claimants, v. No. 93-01218 Shearson Lehman Brothers, Inc., W. Jack Hines, Jr., and James D. Siegfried, Respondents. REPRESENTATION OF PARTIES J. Alan Hanover, Esq., and Donald S. Holm, III, Esq., of Hanover, Walsh, Jalenak & Blair, Memphis, Tennessee, represented Herbert D. Sturman and Raymond Sh

PUBLIC N.A.S.D. AWnSD NATIONAL ASSOCIATION OF SECURITIES DEALERS In th* Matter of the Arbitration Between Name of Claimant Teresita Angela Da Silva 93-01202 Name nf Ttestvuifanfl Sutro & Co., Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 29, 1993, Claimant Teresita Angela Da Silva, who appeared Pro Se, alleged that Respondent Sutro & Co., Incorporated, through its representa

N.A.ff.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jack and May Leiner 93-01196 Name of ^Respondents Alex. Brown & Sons, Incorporated Stephen Gritzan REPRESENTATION For Claimants Jack and May Leiner ("Claimants") were represented: Charles Bagley, IV, Esq. of the law firm of Council, Baradel, Kosmerl & Nolan, P.A. For Respondents Alex, Brown & Sons, Inc. ("Alex. Brown") wa

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE; 00-03609 Barbara Finn-Pressley, Claimant vs. TD Waterhouse Investor Services, Inc., Respondent. ATTORNEYS: Claimant appeared Pro Se, La Jolla, CA. For Respondent appeared Janis Campanella, Esq., Assistant Counsel, TD Waterhouse Investor Services, Inc., New York, NY. DATE FILED: August 18, 2000 CASE SUMMARY: Claimant alleged chat Respondent failed to execute a sale of 25,425 shares

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Albert Sapir 93-01194 Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION For Claimant at the hearing: Pro Se. For Respondent at the hearing: Gerald E. Fradin, Esq. of Sonnenschein, Nath & Rosenthal, Chicago, Illinois. CASE INFORMATION Statement of Claim filed: March 26, 1993. Claimant's Submission Agreemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James Pyer and Denise Pyer 93-01193 Name of Respondents Thomas James Associates, Inc. Michael K. McDonough CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 29, 1993, Claimants James and Denise Pyer, through their counsel, Maria J. Seedner, Esq., San Diego, CA, alleged that Re

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimant John Martin 93-01188 Quick and Reilly, Inc. Chris Chester CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 26, 1993, Claimant John Martin, who appeared Pro Se, alleged that on August 2, 1992 he spoke with Respondent Chris Chester, registered representative of Respondent Q

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Josephine Panotes Josephine Madrid Panotes Physician, P.C. 93-01186 Name of Respondent^ Advest, Inc. William M. Spinner REPRESENTATION For Claimant: Leonard Rodney, Esq. of Levy, Rodney & Schneps, P.C. For Respondent: Cynthia A. Feigin, Esq. of Davis, Scott, Weber & Edwards, P.C. CASE INFORMATION Statem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mario and Linda Mancini, JTWROS 93-01176 Name of Respondents Hibbard Brown & Co., Inc. James D. Vogel REPRESENTATION For Claimants, Mario and Linda Mancini ("Claimants"): Samuel Rosenberg, Esq. of the law firm, Benit, Weinstock & Sharbaugh located in West Orange, New York. For Respondent, Hibbard Brown & Co., Inc. ("Hi