N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Domingo Procopio and Roque Procopio 94-02207 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Daniel Diaz For Claimants: David A. Pearl, Esq. and Carlos F. Concepcion, Esq. of Concepcion, Sexton & Urdaneta, Coral Gables, FL. For Respondents: Alex J. Sabo, Esq. and Bennett Falk, Esq. of Morgan, Lewis & Bockius,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David S. McNally 94-02204 Name of Respondent Principal Financial Securities, Inc. formerly, (Eppler, Guerin & Turner, Inc.) Representation of Parties Claimant, David S. McNally ("McNally") appeared at the hearing Pro Se. Respondent, Principal Financial Securities, Inc. (formerly, Eppler, Guerin & Turner, Inc., "Respondent")

N.A.S.D. AWARD NATIONAL ASSOCIATION QF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name qf Claimant John A. Thomas NASD Arbitration 94-02202 vs. Name of Respondents Stuart Coleman & Company, Inc. and Donald Hunter For Claimant: William Garfield, Esq., of Los Gates, CA 95032 For Respondents: Stuart Coleman & Co. (SC) - Victor Sicuranza, Esq. of SC, New York, N.Y. Donald Hunter (Hunter) - Pro Se, New York, N.Y. CA

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Isadora Fendelman, and Bernice Fendelman, Claimants and 94-02201 Jerome Stanford Stein, Respondent REPRESENTATI9N OF PARTIES t Isadore Fendelman, and Bernice Fendelman ("Claimants") were represented by Howard S. Smotkin, Esq., of McBrearty & Smotkin, and Matthew D. O'Leary, Esq., of Riezman & Blitz, P.C., St. Louis, Missouri. Jero

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William F. Doerrler Award No. 94-02200 Name of Respondents Fahnestock and Company, Incorporated Mary Ann Niederhauser REPRESENTATION For Claimant, William F. Doerrler ("Claimant"), appeared R. Paul Bohlin, Esq., a sole practitioner located in New York City, New York. For Respondents, Fahnestock and Company, Inc. and Mar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants M. Maureen Murphy M. Maureen Murphy & Sheila J. Franco M. Maureen Murphy & John M. Franco n M. Maureen Murphy & Stephen J. Franco Award # vs. 94-02199 Name of Respondent Gruntal & Co., Inc. REPRESENTATION For Claimants, M. Maureen Murphy, Sheila J. Franco, John M. Franco, Stephen J. Franco, ("Claimants"), David E.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Napie nf Claimant Nadler Holding Co., Ltd. Case Number 94-02197 of Rsnnndents Greenway Capital Corporation Mayer Amsel EEESENIATN For Claimant Nadler Holding Co., Ltd. ("claimant") appeared Bruce S. Schaeffer, Esq., New York City, New York. For Respondent Greenway Capital Corporation ("Greenway") appeared Ruthann Niosi, Esq. , New York

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Ronald S. and Annetta Essary and 01-03158 Kansas City, Missouri Name of Respondents Marion Bass Securities Corporation, Marion Frederick Bass, Jr., Marion Bass Investments Group, Gregory Lowe, Mark Fitzgerald Bass, Robert James Brietz, Sr., Gerald Paul Chandik, Randolph McCraven Nash, and Robert Harold Reber, Jr. Josephthal & Co.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James W. Givens 94-02195 Name of Respondents Lovett Underwood Neuhaus & Webb, Inc. Buddie C. Ballard CASE SU]VtMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 10, 1994, Claimant James W. Givens ("Givens"), through his representative Paul N. Young of Securities Arbitration Group, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Pauline J. Watson 94-02194 Name of Respondents') Smith Barney, Harris Upham & Co., Inc. Joseph R. Kelley CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 10, 1994, Claimant Pauline J. Watson, who appeared Pro Se, alleged that Respondents Smith Barney, Harris Upham & Co. Inc., (