N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cteiniaiits Joseph P. and Mabel I. van Daalen 94-02093 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Bruce Vivino Wayne Sammartino Brian Dillon CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 6, 1994, Claimants Joseph P. and Mabel J. van Daalen, who appeared Pro Se,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CA51- 01-03148 Wiuiam F. Reichenbach and Joan Reichenbach, Claimant vs. A.G. Edwards & Sons, Inc., Respondent. ATTORNEYS: Claimants appeared Pro Se., Essex, CT. Respondent appeared through its in-house counsel Matthew R. Salamon, Esq., St. Louis, MO. DATE FILED: June 14, 2001 CASE SUMMARY: Claimants alleged that Respondent was negligent in the management of their account. Claimants furt

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony /. Pellarin 94-02092 Name of Respondents PaineWebber, Inc. Anthony Fitzgerald For Claimant Anthony J. Pellarin ("Pellarin 1 ') appeared John Lawlor, Esq., Garden City, New York. For Respondents Painewebber Incorporated ("PtineWebber") and Anthony Fitzgerald ("Fitzgerald") appeared George W. Clarke, Esq., of the Law office of Joseph

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant x CS First Boston Corp. 94-02088 Name of Respondent Prabank Capital Ltd. REPRESENTATION For claimant CS First Boston Corp. ("claimant") appeared Anthony J. DiSarro, Esq. of the law firm of Winston & Strawn located in New York, New York. For respondent Prabank Capital Ltd. ("respondent") appeared Jonathan Kord Lagemann, Esq. of New York, New York. CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between DEC 4 r} Name of Claimants Kenneth L. and Harriett J. Gillespie 94-02086 Name of Respondent Chatfield Dean and Company, Inc. REPRESENTATION For Claimant: Kenneth L. and Harriett J. Gillespie ("Gillespie"); Norman Meyers, Esq. of Sun City Center, Florida. For Respondent: Chatfield Dean & Co. ("Chatfield"); Christa D. Taylor, Esq. corpora

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Anthony DeJoseph 94-02085 Name of Respondents) Paul Joseph Glesinger, Jr. CASE SUMMARY In a-claim filed with tlwuNational Association of Securities Dealers, Inc. on June 6, 1994, Claimant, Antony DeJoseph, who appeared Pro Se, alleged that Respondent, Paul Glesinger, negligently managed his account. Claimant further alleged

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barnett Securities, Inc. Case No. 94-02084 Name of Respondents PaineWebber, Inc. Thad Kopec Pat Hill Patrick Cress For Claimant, Barnett Securities, Inc. ("Barnett"): Peter W. Homer, Esq. of Greer, Homer & Bonner, P. A. Miami, Florida and C. Daniel Rice of Mahoney Adams & Criser, P. A., Jacksonville, Florida, •

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hamilton Investments, Inc. 94-02083 Name of Respondent Ronald D. Ree Claimant, Hamilton Investments, Inc. was represented by Michael A. Kraft, Esq. of Gomberg Kane & Fischer, Ltd., Chicago, Illinois. . .Respondent, Ronald D. Ree appeared pro se. CASE INFORMATION The Statement of Claim was filed with the National Association

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Larry McCourry and Sharon McCourry 94-02078 Name of Respondent Robert R. O'Braitis REPRESENTATION Claimants Larry McCourry and Sharon McCourry ("Claimants") were represented by Richard Mayberry, Esq., Washington, D.C. Respondent Robert R. O'Braitis ("Respondent") was represented by Michael Q. Carey,

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Name of Claimant Rita E. "Winsick Name of Respondents Alain S. Corcos Royal Alliance Associates, Inc. NASD Arbitration No. 94-02071 REPRESENTATION For Claimants: Thomas Fehn, Esq. - Fields, Fehn & Sherwin - Los Angeles, California For Respondents: Robert A. Latham, III, Esq. - Wilson, Elser, Moskowitz, Edelman & Dicker - Los Angeles, California