N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Miriam Pearl 92-00029 Name of Respondents) Shearson Lehman Hutton, Inc. Barry Yeckes REPRESENTATION For Claimant, Miriam Pearl ("Pearl"): Bruce A. Katzen, Esq. of Klugh, Peretz, Kaplan and Berlin P.A., Boca Raton, Florida. For Respondents, Shearson Lehman Hutton, Inc. ("Shearson") and Barry Yeckes ("Yeckes"): Ronald

Arbitration National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS New York. N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Name of Claimants James E. and Elizbeth J. Monahan 92-00027 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc William £. Kelly REPRESENTATION For Claimants: Alan P. Fraade. Esq.

N.A.S.D. AWARD UKTICHRL ASSQCIRIXCN OF SBCDRITIES DSKLERS In the Matter of tha Arbitration Between Of KASD Arbitration No. 92-00026 Name of Respondents Dean witter Reynolds, Inc. Wayne Gilliam For Claimant: Brian Lowe • Investors Arbitration Services, Inc. For Respondent: Wendy R. Robtnaon, Esq. - Dean Witter Reynolds, Inc. Statement of Claim filed: January 3, 1992 Claimant's Submission. Agreeneot signed oat DecaAur 29, 1991 Joint St

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of che Arbitration Between George R. & Elizabeth A., George C., Peter M. 4 Bruce K. Lyon JTWROS Claimants vs. Shearson Lehman Brothers, Inc. Ken Gray Respondents :ASE 392-00025 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1992, George R. i Elizabeth A. Lyon et al. who appeared Pro Se, alleged that Responde

W.A.S.D. AWARD NATIONAL ASSOCIATION 07 SECURITIES DIALERS in the Matter of the Arbitration Between N< "ne of Claimant(s) Koga Pinkas vs. S2-00023 yfmap Q^ R^spondent (s) Bear Steams & Co., Inc. Avi Rojany for Claimant-. Carroll R. Melton, Arbitration Consultant*, Inc., Woodland Hills, California For Respondents; Michael M. Glees, Esq.. Keesal, Young & Logan, Long Beach, California Statement of Claim filedt January 2, 1992 Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Harris Herman Carole Herman NASD Arbitration No. 92-00020 Name of Respondents) Shearson Lehman Brothers, Inc. James Boston Timothy McDonald Gwendolyn Biggs REPRESENTATION For Claimants: Mitchell S. Ostwald, Esq., Seaman, Seaman & Ostwald, Sacramento, California For Respondents Shearson Lehman Brothers, Inc.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaiinants William S. Willis & Julia Willis Spitz 92-00003 Name of Respondents Smith Barney Harris Upham & Co., Inc. Ronald H. Reisman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 2, 1992, Claimants William Scon Willis and Julia Willis Spitz, who appeared Pro Se, alleged tha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ftajne of Claimants Garland C. Friedrich and Virginia H. Friedrich 91-04022 Name of Respondents Rodman and Renshaw, Inc.; and Lester Jay Rodgers REPRESENTATION For Claimants: Garland C. Friedrich and Virginia H. Friedrich ("Friedrich") were represented by Marvin Klamen, Esq. of St. Louis, Missouri. For Respondents: Rodman & Renshaw, Inc. wa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names nf Claimants Anthony F. & Nancy M. Podorski 91-04016 Names of Respondents Bear Steams & Company Interstate/Johnson Lane Corporation David A. Elgart REPRESENTATION For Claimants: Thomas R. Grady, Esq. of Grady & Associates, Naples, Florida. For Respondent, Bear Stearns & Company, ("Bear Steams"): Laura H. Robinson, Esq. and Paul St

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Quick & Reilly, Inc., (Claimant) vs. Paul Cillis, (Respondent) Case Number: 99-02948 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Quick & Reilly, Inc., hereinafter referred to as "Claimant": John N. Thomas, Esq., Morgan, Lewis & Bockius LLP, New York, NY. Respondent, Paul Cillis, hereinafter referred to as "Respondent", did not enter an appearance in this m