N.A.S.D. AWARD NATKMAL ASSOdKTICN OP SHJUklTJLES In the Matter of the Arbitration Between Nans of dadnsnt 92-01082 of Respondents Dean Witter Reynolds, Inc. and Joseph F. Bcylan Claimant was represented by Richard B. King, Esq. Nashville, Respondent,Dean Witter Reynolds. Inc. was represented by Carol B. Schachner, Esq. of Dean Witter Reynolds, Inc., New York, New York. Respondent, Janes Bcylan was represented by Anas Davis, Esq.of Waller

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold Resteiner, as trustee 92-01080 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 26, 1992, Claimant Harold Resteiner, as Trustee, who appeared Pro Se, alleged that Respondent Merrill Lynch Pierce Fenner &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Ferrin 92-01070 Name of Respondent Janney Montgomery Scott. Inc. For Claimant Robert Ferrin ("Claimant"): Anthony J. Horn. Attorney at Law. For Respondent Janney Montgomery Scon. Inc. ("Respondent"): Elizabeth Hoop Fay of the law firm Morgan. Lewis & Bockius. CASE INFORMATION Statement of Claim filed: March 24. 1992.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Norleen Snyder, (Claimant) v. Everen Securities, Inc. and George M. Walker (Respondents) Case Number: 99-03147 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Norleen Snyder ("Snyder"): James A. McGurk, Esq. Attorney at Law: Chicago, Illinois. Respondents Everen Securities n/k/a First Unions Securities, Inc. ("Everen"), and George M. Walker ("Wal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Henry and Beatriz Esther K. Katina Case No. .92-01079 Name of Resoondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. Rebecca Gault For Claimants, Henry and Beatriz Esther K. Katina ("Katina"): Arthur P. Fisch, Esq. of Fisch & Kaufman. For Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("ML") and Rebecca Gault

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Zimmerman vs. Arbitration National Association of Securities Ovators. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Case # 92-01077 F.S.G. Financial Serviced Group, Inc. Kenneth Glim For Claimant, Michael g-imn^rnu.™ ("Claimant"), Robert M. Jaffee, Esq. from the

N.A.S.D. AWARD In the r.atter of the Arbitration Between Name cf Claimant's? Fred W. C' Green, Mildred G. 0* Green Susan R. 0* Green, Erie 0' Green, Jane 0' Green Koenig, and John o 1 Green NASD Arbitration No. 92-01065 Name of P.esppndgnc (s) Xayne . Anderson & Co . , Inc . , and Beniarain Bush. Richard Kayne, and John Anderson, individually RgPRgSEMTATTQM For claimants: H Thomas Fehn, Esq., Fields, Fenn & Sherwin, Los A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel J. Coffey 92-01064 Name of Respondents Smith Barney Harris Upham & Co. , Inc. Joseph D. Duerr For Claimant: he appeared pro se. For Respondents: Judith Greene, Esq. of Smith Barney Harris Upham & Co., Inc. CASE INFORMATION Statement of Claim filed: March 24, 1992. Claimant's Submission Agreement signed on: Februa

PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Linzel R. Kutson Claimant vs. CASE #92-01063 AWARD Merrill Lynch, Pierce, Fenner & Smith, Inc. Sue Plattner Stephen Olsen Respondents CASE StftMARY In a claim filed with the National Associacion of Securities Dealers, Inc. on March 25, 1992, Claimant Linzel R. Hutson who appeared Pro Se, alleged chat on March 26, 1991 Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. 92-01061 Names of Respondents William P. Dillon Ursula E. Dillon REPRESENTATION For Claimant, Dean Witter Reynolds, Inc. ("DWR"): Bradford D. Kaufman, Esq. of Steel Hector & Davis, West Palm Beach, Florida. For Respondents, William P. Dillon ("W.P. Dillon") and Ursula E. Dillon ("U.E. Dillon")