PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Atlantic Business Group, Inc. Claimant va. CASE #92-00141 AWARD A.S. Goldmen & Co. Tony Smith Respondents CASH SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 14, 1992, Claimant Atlantic business Group, Inc. through its representative Michael J. Feeney, alleged that Respondents A.S. Go

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cjaijnantg Tom and Gene Dirnberger NO. 92-00139 NtUn*» of Respondents Dean Witter Reynolds, Inc., Gregg Happe, and Sandra West REPRESENTATION OP PARTIES For Claimants: Gary L. Phleger, Esq. of Johnson & Wood, P.A. Wayzata, Minnesota. For Respondents: Wendy R. Robinson, Esq. of Dean Witter Reynolds, Inc., San Francisco, Californi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00138 AMARD In the Matter of the Arbitration Between Ann Stager Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Steve Quinley Justin J. Kurd Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 14, 1992, Claimant, Ann Stager, who appeared Pro Se, alleged that she maintained an IRA account with Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Corinne S. Badanes Case No. 92-00134 Name of Respondent! s) Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas D. Stackert REPRESENTATION For Claimant, Corinne S. Badanes ("Badanes"): Albert W. Badanes. For Respondents, Merrill Lynch. Pierce, Fenner & Smith, Inc. ("Merrill") and Thomas Stackert ("Stackert"): Robert Goldbe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John E. Schroeder Florence J. Schroeder NO. 92-00131 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION OF PARTIES For Claimants: Rex J. Ridenour, Esq. of Bricks, Ridenour, Norman and MaceJc, Davenport, Iowa. For Respondent: William A. Hohauser, Esq. of Shearson Lehman Brothers, Inc., New York, New York.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tne Matter of the .Arbitration Between Name of Claimant Michael A. Rogawski 92-00130 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION Claimant Michael A. Rogawski ("Claimant") represented himself. Respondent Shearson Lehman Brothers, Inc. ("Respondent") was represented by William J. Burns, Esq., Vice President, Compliance Division, Shearson Lehman Brothers, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00123 AMARD In che Matter of the Arbitration Between Earl C. Brown Claimant vs. J.W. Gant & Associates, Inc. Allen W. Branam Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 14, 1992, Claimant, Earl C. Brown, who appeared Pro Se, alleged that on or about October 7, 1991 he spoke to Respondent Allen W. Branam, a

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Craig Mason, (Claimant) vs. RAS Securities Corp. and Max Goldstone, (Respondents) Case Number: 99-02955 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Craig Mason, hereinafter referred to as "Claimant": Eric W. Berry, Esq., New York, NY. Respondent, RAS Securities Corp. ("RAS"), hereinafter referred to as "Respondent": David Parsons, Esq,, Associate General Counsel

N.A.S.D. AWARD pi NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Simon Naparstek 92-00120 Name of Respondents Datek Securities Corp. Packard Group. Inc. Wellshire Securities Corp. R.H. Damon & Co.. Inc. Maurice Harroch REPRESENTATION For Claimant: Richard M. Resnik, Esq. For Respondent Datek Securities Corp: Simon S. Kogan. Esq. For Respondent Maurice Harroch: Ira I. K

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Saul Berg 92-00114 Name of Respondents Prudential Securities Inc James Manetta REPRESENTATION For Claimant: Peter B. Skeel. Esq. of Swensen Perer & Johnson. For Respondent: Foster S. Goldman. Jr.. Esq. of Klett Lieber Rooney & Schorling. CASE INFORMATION Statement of Claim filed: January 13. 1992. Claimant's Submiss