NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Donald Jamieson and 94-02344 Name of Respondent Kirkpatrick, Pettis, Smith, Polian, Inc. REPRESENTATION OF PARTIES Donald Jamieson ("Claimant") was represented by Gregory D. May, Esq., Munsch Hardt Kopf Hair & Dinan, Dallas, Texas. Kirkpatrick, Pettis, Smith, Polian, Inc. ("Respondent") was represented by Raymond R. Hessling,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(g) Frank Fountain Name of Respondent(s) J.W. Bullard & Company J.W. Bullard Lillian Vinci NASD Arbitration NO. 94-02394 REPRESENTATION For Claimant: George L. de la Flor, Esq., San Diego, California For Respondents: No Appearance by Respondents. CASE INFORMATION Statement of Claim filed: June 14, 1994

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arthur E. Baz 94-02391 Name of Respondent The Ohio Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 23, 1994, Claimant Arthur E. Baz, who appeared Pro Se, alleged that Respondent The Ohio Company withheld commissions from him, debited his account without authorization and f

NASD Arbitration No. 94-02390 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(.O Vector Aeromotive Corporation Name of Respondent^ Merrill Lynch, Pierce, Fenner & Smith, Inc. and Michael McCall REPRESENTATION For Claimant: Harold A. Ducote, Jr., Esq. Aprahamian & Ducote, P.C. Costa Mesa, California For Respondents: Thomas L. Taylor, ffl, Esq. Jones, Bell, S

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Alexander Boardman and 01-03163 Denver, Colorado Name of Respondent Hornblower & Weeks, Inc. ^PRESENTATION OF PARTIES Alexander Boardman ("Claimant") was represented by William R. Fishman,Esq., Attorney at Law, Denver, Colorado. Hornbiower & Weeks, Inc. ("Respondent") was represented by Eric Ellenhorn, Hornblower & Weeks, Inc., New York, New York,

N.A.S.D. AWARD .NATIONAL ASSOCIATION OF SECURITIES DFALERS. INC. In the matter of the Arbitration Between Name of Claimant John j. Sexton NASD Arbitration No. 94-02388 vs. Name of Respondent Barry Parr REPRESENTATION For Claimant John J. Sexton, Tustin, California: Appearance in pro per For Respondent Barry Parr, Laguna Hills, California: Appearance in pro per CASE INFORMATION Statement of Claim filed: June 13,1994 Claimants' Sub

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimanj Dolores K. Becker 94-02387 Name of Respondents v Paul R. Konsig G.M.S. Group, Inc. Dennis A. Earles REPRESENTATION For Claimant: Kenneth G. Turkel, Esq. of the law firm of Williams, Reed, Weinstein, Schifino & Mangione, P.A., Tampa, Florida. For Respondents: Donald N. Cohen, Esq. in-house counsel at Gruntal & Co. Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Marguerite Pleshe, Claimant, v. No. 94-02386 Merrill, Lynch, Pierce, Fenner & Smith, Inc. Respondent REPRESENTATION OF PARTIES Claimant Marguerite Pleshe ("Claimant") was represented by Thomas H. Watson, J.D., Phoenix, Arizona. Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") was represented at the hearing by Janet W. Lord, Esq., of Fennimore Craig, Phoeni

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants John Turi, Individually and as Trustee of American Colonial Press, Inc. Employee Pension Trust Case No. vs. 94-02384 Name of Respondents Philip Hitman and Gary Hollander REPRESENTATION For Claimant John Turi, Individually and as Trustee of American Colonial Press, Inc., Employee Pension Trust, ("Turi" and collectively "Claimants"), appeared George

N.A.S.D. Stipulated AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ClaimantCs) OCT 4 1995 FL ARBITRATION Prudential Securities Inc Name of Resoondent(s) Louis M. La Flamme 94-02380 REPRESENTATION For Claimant, Prudential Securities, Inc. ("Prudential"): Denis McCarthy, Esq. of Prudential. Respondent, Louis M. LaFlamme was pro sjg. CASE INFORMATION Statement of Claim filed