PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Allen August Claimant VS. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent SUMMARY CASE #92-00084 AWARD In a claim filed with the National Association of Securities Dealers, Inc. on January 9, 1992, Claimant, Allen August," who appeared Pro Se, alleged that Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. failed to sell h

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Yvonne Johnston CASE #92-00162 Name of Respondents Shearson Lehman Brothers, Inc. Paul McMahon REPRESENTATION For Claimant Yvonne Johnston: Eric Weiss, Esq. of Mintz & Fraade, P.C. For Respondents Shearson Lehman Brothers, Inc. and Paul McMahon: Paul Williams, Esq. of Schupbach, Williams & Pavone. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Tn the Matter of the Arbitration Between Name of Claimant Daniel L. Flanders No. 92-00161 of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. James E. NeunuebeL REPRESENTATION OP PARTIES For Claimants: Major W. Park, Jr., Esq. of Gage & Tucker, Kansas City, Missouri. For Respondents: Dennis M Pape, Esq. Vice President and Senior Counsel Merrill Lynch, Pierce, Fenner & Smi

H.A.S.D. AK&KD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Halen Gomes 92-00159 Addiscn Securities, inc. Richard J. Koch Claimant Halm Gomen ("Claimant") was represented by Martin J. Siegel, Esq. Respondents Addison Securities, Inc. ("Addiaon") and Richard J. Koch ("Koch") were represented by will S. Montgomery, E«q. .of the law firm of Jenkens t Gilchrist. Statement of Claim filed: January IS, 1992.

9 N.A.S.D. AHRRD NATIONAL ASSCCIATICN OP SECURITIES DEALERS Arbitration In the Matter of the Arbitration Between Name of Claimant(s) Donald P. Bridenstine, Jr. Name of Respondent (a) Bill Baker National Attochrtion of S*curttt*» Dealer*, Inc. One East Broward Boulevard Suite 1000 R. Uuderdale. Florida 33301 (305) 522-7391 Cue No. 92t«015» Claimant, Donald P. Bridenstine, Jr. (*Rri < Vf | p*'•*"^*) pro se.

N.A.S.D. NATXQ3AL RSSGdKFICK OP In the Matter of the Arbitration Between Nans of dainont Gary Menus vs. NASD #92-00157 Mama o SoitS. Barney Btrris Ofctann ft Go. , Inc. Jobn Sbaady Poor nalmant: Ann Aoderson Esq., Wbodland Hilla, For Saqpoodmta: Dov S. Schnchter, Esq. of Stadth Barnay Earria UJpbtBB & O New York, New York 0 £ rialm filed; January 15, 1992 lonod: Jaziuary 9, 1992 Statement of Answer filed by Reepondentas Febru

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: James S. White, Vince H. Lombardi, Jill F. Lombardi, and Magic City Beverage Co., (Claimants) vs. Bear Stearns Co., Inc., (Respondent) Case Number: 99-02960 Hearing Site: Dallas, TX REPRESENTATION OF PARTIES Claimants, James S. White ("White"), Vince H. Lombardi and Jill F. Lombardi (collectively, "Lombardi") and Magic City Beverage Co. ("Magic City"), hereinafter collectively referre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Harold & Effie Lindner Case No: 92-00150 NameofResoondentfs} Cowen & Company Richard Karasick d/b/a Karasick Asset Management Company For Claimants, Harold and Effie Lindner ("Lindners"): Steven R. Reininger, Esq. of Rasco and Reininger. For Respondents, Cowen and Company ("Cowen"): Jonathan Wolfert, Esq. of Kaplan,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Njtme of Claimant David Hodgdon, as trustee of the Sam D. Hodgdon Trust, u/a/d January 4, 1988 92-00147 ?jame of Respondents Shearson Lehman Hutton, Inc., n/k/a Smith Barney Shearson, Inc.; Lester Larry Sockey REPRESENTATION For Claimant: David Hodgdon, as trustee of the Sam D. Hodgdon Trust, u/a/d January 4,1988, ("Hodgdon") was repres

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ^ Alfredo Gonzalez NASD Arbitration No. 92-00142 Name of Respondents) Paine Webber Incorporated George W. Waldie, Jr. Gregory A. Yankovsky REPRESENTATION For Claimant: Jeffrey M. Jones, Esq., Law Office of Archibald M. Mull, HI, Old Sacramento, California For Respondents: Scott M. Ratchick, Esq., PaineWebber Incorporated, Lo