N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALFRS. INC. In the matter^of the Arbitration Between Name of Claimant Shelley B. Weinstein NASD Arbitration No.94-00442 Name of Respondent Volpe, Welty & Co. REPRESENTATION For Claimant: James A. Carter, Esq., and Brian M. Carter, Esq., Carter & Carter, San Francisco, California For Respondent: Harry Bremond, Esq., and Millicent Meroney, Esq., Wilson, Sonsini, Goodrich & Rosati, Pal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Bernard S. Epps Revocable Trust and Ginko Epps, Trustee of Ginko Shhnazu Epps Revocable Trust v. Name of Respondents Shcarson Lehman Brothers, Jerry Goldberg, and Bruce Hadash For Claimant: For Respondent: REPRESENTATION Kenneth B. Goodfiied, Esq. Rubin &Rahc Beverly Hills, California Harry Walters Shearson Lehman Brothers

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kathy Carver 94-00440 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Howard Conn CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 4, 1994, Claimant Kathy Garver, who appeared Pro Se, alleged that Respondent Howard Conn, of the Respondent firm Merrill Lynch,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Perry S. Reich (Claimant) v. Gruntal & Co., L.L.C., The GMS Group, L.L.C., Ryan Beck & Co., L.L.C., and Joseph Burgos (Respondents) Case Number: 01-02937 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Perry S. Reich ("Reich") hereinafter referred to as "Claimant": William S. Shepherd, Esq., S

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Name of Claimant NASD Arbitration Ronald Bunce, No. 94-00437 Executor of Estate of Allan H. Bunce v. Name of Respondents International Business Securities, Inc. Brent Jay James B. Castles REPRESENTATION For Claimant: Valerie F. Horn, Esq., Weissman & Weissman, Encino, California For Respondents: H. Thomas Fehn, Esq., Fields, Fehn & Sherwin, Los

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold Gillet 94-00433 Name of Respondents Smith Barney Shearson, Inc. Lester G. Kaufman REPRESENTATION For Claimant, Harold Gillet ("Gillet"): Arnold Steinberg, Esq. of Boca Raton, Florida. For Respondent, Shearson Lehman Brothers, Inc. ("Shearson") and Lester Kaufman ("Kaufman"): Ellen Slipp, Esq. of Smith Barney, Inc., N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jay Rosoff, D.D.S. and Paula Rosoff 94-00432 Name of Respondents and Third-Party Claimants The First Boston Corporation Mark J. McAvoy Name of Third-Party Respondent Jay L. Vodofsky REPRESENTATION For Claimants, Jay Rosoff, D.D.S. and Paula Rosoff ("Rosoff"): John R. Kiefner, Jr., Esq. of Riden, Earle & Kiefner, P.A.,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Charles E. Schwall 94-00429 Name of Respondents Chatfield Dean & Co., Inc.; James E. Coath REPRESENTATION OF PARTIES For Claimant: Charles E. Schwall ("Schwall") was represented by John S. Stoppelman, Esq., located in McLean, Virginia, For Respondents: Chatfield Dean & Co., Inc. ("Chatfield") was represented by Christa D.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants GKN Securities Corp. 94-00425 Name of Respondents Atsushi Uchida CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1994, Claimant GKN Securities Corp., through its in-house counsel {Catherine Nathan, Esq., New York, New York, alleged that Respondent Atsushi Uchida was em

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ricky Curtis 94-00424 Name of Respondents Prudential Securities Inc Paul Arthur Robinson REPRESENTATION The Claimant appeared pro se. Respondent, Prudential-Bache Securities, Inc., was represented by Donald Littlefield, Esq., Corporate Counsel, Prudential-Bache Securities, Inc., located in New York, New York. Respon