N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between e of (Tlnant Claus Mueller NASD Arbitration No.94-01234 Name of Respondent Shearson Lehman Brothers Randall Buchanan REPRESENT4TTON For Claimant: Roy G. Brewer, Esq., Seattle. Washington For Respondent: John Bevilacqua, Esq., Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: March 31, 1994 Cl

„ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sheldon B. and Marcia Lantinberg Case No. 94-01223 Name of Respondents Royce Investment Group, Inc. Royce Kanofsky John Aituro Marciano -• • REPRESENTATION For Claimants, Sheldon and Marcia Lantinberg ("Lantinbergs"): George E. Ridge, Esq. of Kent, Ridge & Crawford, Jacksonville, Florida. For Respondents, Royce I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between e o Ctt Robert and Ellen T. Olt Case No. 94-01222 Name of Respondents Charles James Givens, Jr. James Lawrence Paris Brent Jeffrey Cozlin Delta First Financial, Inc. The Charles J. Givens Organization For Claimants, Robert Olt and Ellen T. Olt ("Oils"): Neal J. Blaher, Esq., Orlando, Florida. For Respondents, The Charles J. Givens O

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC In the matter of the Arbitration Between Name of Claimant Earl Leroy Schriver, Jr. NASD Arbitration No.94-01221 Name of Respondents Merrill Lynch & Co., Inc. Merrill Lynch Life Agency, Inc. Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimant: James A. Cathcart, Esq., Bonneville, Viert, Morton & McGoldrick, Tacoma, Washington For Respondents: Eric D. Lans

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas Arcuik 94-01220 Name of Respondents PaineWebber, Inc. Thomas Reichert REPRESENTATION For Claimant: Dan Brecher, Esq., of Law Offices of Dan Brecher, located in New York, New York. For Respondents: Evan J. Charkes, Senior Litigation Counsel of PaineWebber, Inc., located in Weehawken, New Jersey. CASE INFORMATI

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name Joan E. Brown NASD Arbitration No. 94-01218 Name of Respondents Russell Young and Robert Scott Securities, Inc. REPRESENTATION For Claimant: Jeffrey L. Gaffney San Diego, California For Respondent Russell Young: Russell Young, Pro Se Laguna Niguel, California For Respondent Robert Scott Securities, Inc.: Nicholas Ellis

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants Gerald M. Ziemnicki and Joshua D. Wallach 94-01215 Name of Respondent Piper Jaffray, Inc. REPRESENTATION For Claimants: Gerald M. Ziemnicki ("Ziemnicki") and Joshua D. Wallach ("Wallach") were represented at the hearing by John H. Wright, Esq. of Houston, Texas. For Respondent: Piper Jaffray, Inc. ("Piper") was represen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John M. and Beverly A. Draughon 94-01206 Name of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc.; John Markle For Claimant: John M, Draughon and Beverly A. Draughon ("Draughon") were represented by John M. Draughon, Houston, Texas. For Respondent: Merrill Lynch, Pierce Fenner & Smith, Inc. ("Merrill Lynch") and John

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward J. Dunne 94-01205 Names of Respondents Chris Richardson Maurice Cohen REPRESENTATION Claimant Edward J. Dunne appeared pro se. For Respondent Maurice Cohen ("Cohen") appeared Donald N. Cohen, Esq., Assistant General Counsel of Gruntal & Co., Inc., located in New York, New York.. For Respondent Chris Richardson ("

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Douglas and Patricia Poole Claimants) NASD Arbitration v. No. 94-01187 Smith Barney Harris Upham & Co., Inc. Michael E. Kolb Respondents) REPRESENTATION OF PARTIES Douglas and Patricia Poole ("Claimant") was represented by Anthony M. Englese, Esq., San Francisco, California. Smith Barney Harris Upham & Co., Inc. ("Respondent") was represe