N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between .Name of Claimants Norman R. Waldherr Mona Jean Waldherr No. 92-02266 Name of Respondent Olde Discount, Corp. REPRESENTATION OF PARTIES Claimant Norman R. Waldherr appeared pro a&. Claimant Mona Jean Waldherr was not present at the hearing. For Respondent: Mark Kendall, Registered Representative, Olde Discount, Corp., Lombard, Illinois.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith Inc 92-02260 Name of Respondent Gabriel Solorzano CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 8,1992, Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc., through it's counsel, Bradford D. Kaufman, Esq., of Steel Hector & Davis,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Stanley W. Balzejewski. as SEP Custodian 92-02257 Name of Resoondent(s) Shearson Lehman Brothers, Inc. David Heiser For Claimant. Stanley W. Blazejewski as SEP Custodian, Michael F. Bachner, Esq. For Respondents, Shearson Lehman Brothers, Inc. ("Shearson") and David Heiser ("Heiser"), Paul Williams, Esq., from the law firm o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant B. Lydia Samaniego NASD Arbitration No.92-2256 Name of Respondents Prudential Bache Securities. Inc. Carl Gottuso REPRESENTATION For Claimant: Dan Zaharoni, Esq. - Waier and Urtnowski - Santa Ana, California For Respondent, Prudential-Bache Securities, Inc.: Janet M. Simmons, Esq. - Keesal, Young & Logan, Long Bea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Rose M. Palano Case* vs. 92-02254 Name of RespondentCs) Bailey, Martin & Appel Inc REPRESENTATION For Claimant: E. Earle Rugg, Jr., Esq. of the law firm of Rugg & Tallman Associates. For Respondent Ernst & Company: Michael H.' DuBoff of the law firm of Salon, Marrow & Dyckman. For Respondents, Bailey, Martin & Appel/Fi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-02253 AHARD In the Matter of the Arbitration Between F. Gordon Boyle Claimant vg. Paragon Capital Corporation Anthony Pata Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 8, 1992, .Claimant F. Gordon Boyle, who appeared Pro Se, alleged that on August 21, 1991 Respondent Anthony Pata of Respondent Paragon Capital C

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charles Levey, (Claimant) vs. SG Cowen Securities Corporation, (Respondent) vs. H.J. Meyers & Co., Inc., (Third Party Respondent) Case Number: 99-03238 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Charles Levey, hereinafter referred to as "Claimant", appeared pro se. Respondent, SG Cowen Securities Corporation, hereinafter referred to as "Respondent": Peter

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Samuel L. Bare and Daniel LaPadula Case #92-02250 Name of Respondents) Manchester Rhone Securities Corp., John Figliolini For Claimant, Samuel L. Bare ("Bare") and Daniel LaPadula ("LaPadula"): Samuel L. Bare, Esq. For Respondent, Manchester Rhone Securities ("MRS"): Karen LoSordo. For Respondent, John Figliolini ("Figlio

N.A.S.D. AWARD In -he matter of "he Arbitration Between Mame q_f C 1 a i nanr '. ~ } Edward I. Miller, individually, as Trustee of Newport Harbor Radiology Associates Medical Group Profit Sharing Plan and Trust, and as Trustee of the Miller Family Trust NASD Arbitration No. 92-02249 Name of Respondent (s) Titan Value Equities Group, Inc. Robert H. Osur For Claimant: David C. Hinshaw, Esq. and Spencer A. Burkholz, Esq., Gansinger,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eugene A. Cox _- 92-02247 Name of Respondents Shearson Lehman Hutton, Inc. Robert Grapin REPRESENTATION For Claimant at the hearing: Michael Brose, Esq. of Doar, Drill & Skow, S.C., New Richmond, Wisconsin. For Respondents at the hearing: Tom Vitt, Esq. of Dorsey & Whitney, Minneapolis, Minnesota. CASE INFORMATION S