NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lilv Gates vs. AWARD #92-01565 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Shearson Lehman Brothers. Inc. Astrid M. Berg REPRESENTAION For Claimant Edward T. Swanson, Esq., Santa Monica, CA For Respondents, Shearson Lehman Brothers, Inc., and Astrid Berg Samuel A. Turvey, Esq., of Shearson Lehman located in New York,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants R. E. Lent he, Lent he IRA, Lenthe Investment, Inc. 92-01564 Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. RBPRBSKHTATION For Claimant at the hearing: Bruce Pearson, Fargo, North Dakota. For Respondents at the hearing: Francis C. Musselman, Esq. of Merrill Lynch Pierce Fenner & Smith, Inc., New York, New Yor

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClainiants Thomas C. & Jacqueline F. Walker 92-01562 Name of Respondents Dean Witter Reynolds Inc. Diane Barriga Peter Petrosky CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 7, 1992, Thomas C. & Jacqueline F. Walker, who appeared Pro Se, alleged that Respondent Dean Witter

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jon A. Geiss 92-01560 Name of Respondents Shearson Lehman Hutton. Inc. John Noonan REPRESENTATION For Claimant at the hearing: Terry J. Fleming, Esq. of Lindquist & Vennum. Minneapolis, Minnesota. For Respondent Shearson Lehman Hutton. Inc. at the hearing: Jeffrey L. Friedman. Esq. of Shearson Lehman Hutton. Inc.. New

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-01559 AMA8D In the Matter of the Arbitration Between Carolynn A. Godwin Claimant vs. Invest Financial Corporation Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 7, 1992, Claimant Carolynn A. Godwin, who appeared Pro Se, alleged that Respondent Invest Financial Corporation misrepresented and recommended an investment in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jack R. Stroot 92-01558 Name of Respondents Smith Barney, Harris Upham & Co.. Inc.: Warren W. Langford REPRESENTATION For Claimant: Jack R. Stroot was represented by Firmin C. Puricelli, Esq. and W Woody Schlosser. Esq. of Puricelli & Schlosser, located in St. Louis, Missouri. For Respondents: Smith Barney, Harris Upham and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jay Soshnick and Loren Rosenblum Case No. 92-01553 Name of Respondents Gary Kertzman Eddie Guthmann REPRESENTATION For Claimants, Jay Soshnick ("Soshnick"), and Loren Rosenblum ("Rosenblum"): Russell L. Forkey, Esq. For Respondent, Eddie Guthmann ("Guthmann") Michael R. Casey, Esq. of Casey and Molchan. Respondent,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants O'Donneli, McCord & Leslie Corporation Pension Plan O'Donnell, McCord & Leslie, P.C. John J. O'Donnell Keogh John J. O'Donnell Case# vs. 92-01552 Name of Respondents Prudential Securities Inc Christopher Kete Deborah Ann Sappah REPRESENTATION For Claimants: Mitchell H. Cobert, Esq. a sole practitioner. For

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Pamela M. Claywell and Douglas A. Peck, (Claimants) vs. Bear Stearns & Co., Inc. and David Fresne, (Respondents) Case Number: 99-03191 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Pamela M. Claywell ("Claywell") and Douglas A. Peck ("Peck"), hereinafter collectively referred to as "Claimants": Howard M. Rosenfield, Esq., a sole practitioner, Avon,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Eric S. Bazil, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Neal C. Kofman, Marie Montagnino, Helmuth G. Meditz and Joseph Guido, (Respondents). Case Number: 97-04328 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES For Claimant, Eric S. Bazil, hereinafter referred to as "Claimant": Richard F. Johnston, Esq., of Kenna, Johnston, & Sharkey, P.A., located in