PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bernard and Fern Raphael 92-02381 Name of Respondents Shearson Lehman Brothers. Inc. Gary Weissman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 17, 1992. Claimants Bernard and Fern Raphael, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald Breckle v. 92-02377 Name of Respondents D.H. Blair & Company Stratton Oakmont, Inc. Jordan Belfort REPRESENTATION For Claimant: Donald Breckle ("Breckle"). Craig W. Horn. Esq., from the law firm of Braun. Kendrick. Finkbeiner et al. For Respondent. D.H. Blair &. Co.. Inc. ("Blair"). Stuart Summit. Esq. from the l

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Steven M. Hoss William Beall William L. Hendry William Gillen Louis J. Venafro Michael D. Owens Case No. #92-02372 Name of Respondent^ Princeton Financial Group, Inc. Jerry Frederick Shorthouse Anthony Joseph Pontieri Curt Russell For Claimants, Steven N. Hoss ("Hoss"), William Beall ("BeaU"), William

Award NASD Dispute Resolution, Inc. In the Mattef-of the Arbitration Between Name of Claimants William M. and Louise Keane Case No. 99-03259 Name of Respondent Charles Schwab & Company, Inc. Hearing Location: Philadelphia, PA REPRESENTATION OF PARTIES ^ Claimants, William M. Keane and Louise Keane, JT TEN ("Claimants") were represented by Michael P. Mangan, Attorney at Law, New York, NY. Respondent, Charles Schwab & Co., Inc. ("Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edythe Masel as Assignee of Robert and Theresa Masel and The Edythe Masel Irrevocable Trust 92-02367 Name of Respondent Ryan. Beck and Co.. Inc. REPRESENTATION Claimants Edythe Masei as Assignee of Robert and Theresa Masel and the Edythe Masel Irrevocable Trust (collectively referred to as "Claimants") were represented

N.A.S.D. AMENDED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Myron S. Eckstein, TTEE/General Sheet St Myron S. Eckstein. TTEE/General Sheet St vs. 92-02358 Name of Respondents Fahnestock & Co., Inc. Edward A. Viner & Co., Inc. E.A. Viner Holdings, Ltd. William McLaren REPRESENTATION For Claimant: Steven L. Gardner, Esq. of McDonald, Hopkins, Burke & Haber Co., L.P.A.

NASD Arbitration No. 92-02356 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Rohm Corporation Name of Respondents') Merrill Lynch, Pierce, Fenner & Smith, Inc. Timothy J. Bangert REPRESENTATION For Claimant: Paul A. Renne, Esq. and Steven L. Friedlander, Esq., Cooley Godward Castro Huddleson & Tatum, San Francisco, California For Respondents: John W. Keker, Esq. a

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Suzan R. (Cittadine) Campbell 92-02354 Name of Respondents Brian Frost Raffensperger, Hughes & Co.. Inc. For Claimant: David J. Cutshaw, Esq. of Cohen & Malad, P.C., Indianapolis, Indiana. For Respondent Brian Frost: Mark E. Maddox, Esq. of Coons & Saint, Indianapolis, Indiana. CASE INFORMATION Statement of Claim

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John Filipiak and Yvonne C. Filipiak vs. Names of Respondents Parker/Hunter Incorporated and Charles R. Johnson Case Number: 05-05471 Hearing Site: Pittsburgh, Pennsylvania NATURE OF THE DISPUTE Customers vs. Terminated Member and Associated Person REPRESENTATION OF PARTIES John Filipiak and Yvonne C. Filipiak, hereinafter collectively refe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant; Greg W. Barnewold & Florence Carassale 92-02349 Name of Respondents David Lerner Associates, Inc. Vantage Securities, Inc. Clinton Champney REPRESENTATION For Claimants: Lynne A. Bizarro, Esq. of the firm of Zodda & Bizzarro located in Sayville, New York. For Respondent David Lerner Associates, Inc.: Ruthann G. Niosi,