NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Donna Marie Koepfler Francis X. Koepfler Claimants vs. CASE #88-01549 AWARD Merrill Lynch, Pierce, Fenner & Smith, Inc. Mark Maiorella Respondents CASE SUMMARY Claimants maintain their account with Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"). Respondent, Mark Maiorella ("Maiorella") was their account executive.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of CAaimant(s] Jayce Stephen Moore 88-01546 Name of Respondent(s) John Bradley Alvin Blumberg This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 12, 1988, Claimant, Jayce Stephen Moore (Moore) alleges that Respondent Alvin W. Blumenberg (Blumenberg) while enployed at Respondent firms TriBradle

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Tim W. Stark vs. Blinder, Robinson & Co. Oim Ferouson Claimant Inc. Respondents AWARD #88-01541 Case Summary This proceeding was commenced by the Claimant to recover damages from the Respondent arising from losses in Claimant's securities account which the Respondent maintained from approximately July 1986 until approximately December 1987. Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Jim S. & Patricia L. Prindel Claimant(s) vs. Dean Witter Reynolds, Inc. Respondent(s) AWARD 88-01528 The Arbitrator, John W. Jerak, having been selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on May 6, 1988 and September 28, 1988,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gerald Olgin, Claimant v. Biltmore Securities, Inc., Marc Sitzer, Alan Siemens, Elliott Loewenstern and Richard Bronson, J.B. Oxford & Company, Respondents Case Number: 00-00975 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Gerald Olgin, hereinafter referred to as "Claimant": Harter, Secrest & Emery LLP, Peter H. Abdella, Esq., of Counsel, 1600 Bausc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marvin L. Silcott Claimant(s) vs. Merrill Lynch, Pierce, Fenner, & Smith Respondent(s) NOTICE OF ARBITRATION AWARD 88-01522 The Arbitrator, Albert A. Rapoport, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on May 4, 1988

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Orel and Serban Protopopescu Claimant(a) vs. 88-01514 Morton Berkowitz Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Orel and Serban Protopopescu alleged that Respondent(s) Morton Berkowitz failej^to execute a trade properly. Respondent(s) maintain that Claimants' orders were executed correctly and in a timely manner. RELI

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edith Winthrop Claimant(s) vs. Gladstone Securities, Inc. & Burton Bereck Respondent(s) AWARD 88-01507 The Arbitrator, John W. Jerak, having been selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on April 25, 1988 and not by the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) LUIZ MARCOLINI AND INGRID LAWRENCE ) Claimants, ) ) Case #88-01505 vs. ) Award BARNETT BROKERAGE SERVICES, INC. ) Respondent. } Heard before the members of the Arbitration Panel: John B. Kelley, Esq. Meah Dell Rothman Tell, Esq. Anthony S. Paetro, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on May 10, 1988. The hearing was c

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Patricia- M. and Jerold R. Everhart Claimant(s) vs. Olde Discount Stock Brokers Rory Vanderheydon & Gary Sharp Respondent(s) AWARD 88-01497 The Arbitrator, having been selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on