N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Vincent S. Marceno & Mary J. Marceno Case# vs. 94-00277 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Ceciie R. Boivin REPRESENTATION For Claimants, Vincent S. Marceno and Mary J. Marceno ("Claimants"), Jay N. Michelman, Esq., from Michelman Law Offices, located in Springfield, Massachusetts. For Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS « In the Matter of the Arbitration Between Name of Claimant 10 1995 FL ARBITRATION Robert Lewis Reinecker Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. Martin Herbert Feldman Case No. 94-00215 Claimant, Robert Lewis Reinecker ("Reinecker"): pro se. For Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") and Martin H. Feldman ("Feldman"

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant R. Allen Fox Ltd. and Robert A. Fox and 94-00210 Name of Respondent Stratton Oakmont, Inc. Robert Koch REPRESENTATION OF PARTIES R. Allen Fox Ltd. and Robert A. Fox ("Claimants") were represented by Arthur M. Holtzman, Esq., Tammye T. Raster, Esq. and Steven Austermiller, Esq., Pedersen & Houpt, Chicago, Illinois. Stratto

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 94-00206 Name of Respondent Neal Kohlhaas For Claimant Prudential Securities, Inc. ("Prudential") appeared William Rogers, Esq. of the law firm Mirick, O'Connell, Demallie & Lougee, Worcester, MA. For Respondent Neal Kohlhaas ("Kohlhaas") appeared John P. Clone, Esq., Solana Beach, CA. CASE INFORMATI

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Bennett Mostel 94-00205 Name of Respondent Emanuel and Company For Claimant Bennett Mostel ("Claimant") appeared Paul Chernis, Esq. of the law firm of Silvennan, Collura & Chernis, P.C. located in New York, New York. Respondent Emanuel and Company ("Respondent") did not appear at the hearing. CASE INFORMATION Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elizabeth Hyde Summer 94-00204 Name of Respondents A. Baker Duncan; Goodhue W. Smith, ffl; Edward B. Patton; Christopher T. Moser, John D. Alexander, Jr.; J. Lance Lahourcade; Duncan Smith Co.; Duncan Smith Securities Inc. REPRESENTATION For Claimant: Elizabeth Hyde Summer ("Summer") was represented by Malin

- N.A.S.D. AWARD . agftnrraTTcnr QV sgenaigrgg Anthony H . HosJcins , ; : Claimant , v. Ho. 94-00202 Merrill Lynch, Piarc*, Fanner, & Smith, Inc. Respondent . Of PARTIES Claimant .Anthony H. Hoskins ("Claimant") was represented by Thomas M. Rainey, Esq., Lawrence, Kansas. Reepond< 5nts Merrill Lynch, Pierce, Fenner, & Smith, Inc. and James G, Per list ein were represented by Gordon D. Gee, Esq., of Siegfreia, Bingham, Selzer & Gee, Ka

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02929 Baruch Tandler, claimant vs. Ron Itin, respondent. ATTORNEYS: Claimant appeared Pro Se, Netanya, Israel. Respondent appeared Pro Se, New York, NY. DATE FILED: June 4, 2001 CASE SUMMARY: Claimant alleged that respondent made unauthorized trades of Global Crossing in his account after claimant specifically asked him not to. Claim Data Award Data Claim: $22,000.00 Award

SIMPLIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 94-00201 Priscilla F. Seminara v. Ray Pastor, Hibbard Brown and Company, Inc., FSC Securities Corp., Commonwealth Equity Services, Inc., and Allen J. Schwalb. ATTORNEYS: For Claimant: Brian J. Sheen, Delray Beach, Florida. Respondent Ray Pastor ("Pastor") appeared pro sg. For Respondent FSC Securities Corp. ("FSC"): James M. Kaplan of Wilson Elser Moskowitz Edelman &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between » Name of Claimant Tontilia S. Johnson 94-00197 ftlame of Respondents Wheat First Securities, Inc. (n/k/a Wheat First Butcher Singer, Inc.) Walter Lee Clark REPRESENTATION For Claimant Tontilia S. Johnson ("Claimant"): Jeffrey P. Bloom, Esq. of the law firm of Metzger, Hollis, Gordon & Mortimer For Respondents Wheat First Securities, In