N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bernice Heinstein Award No. vs. 94-01980 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Paul Knouse REPRESENTATION For Claimant, Bernice Heinstein ("Claimant"), appeared pro se. For Respondents, Merrill-Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch") and Paul Knouse ("Knouse") (collectively "Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stanley Meisel 94-01979 Name of Respondents M. Rimson & Co. Inc. James Shekhtman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 27, 1994, Claimant Stanley Meisel, who appeared pro se, alleged that Respondents M. Rimson & Co. , Inc. ("Rimson") and James Shekhtman ("Shekhtman")

N.A.S.D. AWARD- - NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Ronald Merenbach Ellen Merenbach NASD Arbitration No. 94-01978 Name of Respondents Bear Stearns & Company, Inc. Stanley Zuckerman REPRESENTATION For Claimants: Paul N. Young - Securities Arbitration Group, Inc. - Marina del Rey, California For Respondents: Philip A. McLeod, Esq. - Keesal Young 8c Logan - S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) James D. Vitarello 94-01975 Name of Respondentf s) Thomas James Associates CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 26, 1994, Claimant James D. Vitarello, who appeared Pro Se, alleged that Respondent Thomas James Associates misrepresented an investment to him. Claimant fu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Wayne Saker Case No. vs. 94-01971 Name of Respondents James Peter Minsky Irv Freiberg Westfield Financial Corp. Paul Peter Alessandrini, Jr. Salvatore Mazzeo REPRESENTATION For Claimant Wayne Saker ("Saker") appeared Victor F. Mustelier Esq. of David M. Pedmutter & Associates located in New York City, New York.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Carolyn Greathouse and NASD Case Number 94-01958 Prudential Securities, Incorporated and John Peterson REPRESENTATION OF PARTIES Claimant, Carolyn Greathouse was represented by Cynthia J. Thomson, Esq., Sole Practitioner, located in Houston, Texas. Respondents, Prudential Securities, Inc. and John Peterson were represented by Gabriel Loubier,

Award NASD In the Matter or the Arbitration between: Name of the Claimant Case Number: 01-03140 Prime Charter Ltd., Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Kevin I. Zinn REPRESENTATION OF PARTIES For Prime Charter Ltd., Inc. ("PCL") hereinafter referred to as "Claimant": Ronald Schindler, Esq., Fowler White Burnett, P.A., Miami, Florida. Respondent Kevin Zinn ("Zinn") appeared pro se. CASE INFORMATION Statement of C

AWARD NASD Regulation, IDC. Office of Dispute Resolution In the Matter of the Arbitration Between Norman R, Busbee, Claimant, v. No. 94-01957 Thomas Junes Associates, Inc., Jeff Parkhum, Jim Rooney, Marie Douglas, and Peter A. Home, Respondents. Rg r yiqr ft SFNTATTQN OF PARTIES Claimant Norman R. Busbee was represented by David S. Kohm, Esquire of Arlington,: Texas.' Respondents Thomas James Associates, Inc. and Peter A. Hom

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley DW, Inc. vs. Case Number: 05-05849 Hearing Site: Minneapolis, Minnesota Name of Respondent Gary A. Rusche NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley DW, Inc. ("Claimant") was represented by Diane C. Fisher, Esq., and Ron Kane, Esq., Kane & Fischer, LTD, Chicago, Illinois. Gary A.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Clarissa Couch, Executor of Estate of John Couch vs. Case Number: 05-05714 Hearing Site: Chicago, Illinois Name of Respondent Morgan Stanley DW, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Clarissa Couch, Executor of Estate of John Couch ("Claimant"), was represented by John B. Veach, III, Esq., Falls & Veach, Ash