N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant June Louise Conroy Case# vs. 93-05390 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant, June Conroy ("Claimant"), John M. Pelletier, Esq., located in Falls River. Massachusetts. For Respondent. Shearson Lehman Brothers. Inc.("Respondent"), Mark W. Batten. Esq., from the iaw firm of Binghain.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nan»e of Claimants William J. and Catherine M. Sullivan Award No. vs. 93-05383 Name nf Respondents Richard Cedrone Fulton Ferracute Capital Corp. Amerinational Financial Services Inc. Marc Riviello Peter A. Provence Jerome M. Schneider National Financial Services Corp. For Claimant, William J. Sullivan and Catherine M. Sullivan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond J. Spellman 93-05378 Name of Respondents Prudential Securities, Inc. f/k/a Prudential Bache Securities, Inc. Joseph Zampetti REPRESENTATION For Claimant Raymond J. Spellman ("Spellman") appeared Mitchel H. Cobert, Esq., a sole practitioner, located in Morristown, New Jersey. "For Respondent Prudential Securities, In

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David Edward Altschuler v. 93-05340 Name of Respondents Dunhill Equities, Inc. Joseph Giulio Chiulli REPRESENTATION Claimant David Edward Altschuler ("Claimant") appeared pro se. Respondent Joseph Giulio Chiulli ("Chiulli") appeared pro se and as the representative for Respondent Dunhill Equities, Inc. ("Dunhill"). CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond James & Associates, Inc. 93-05338 Name of Respondent William E. Orthwein REPRESENTATION For Claimant: Joseph A. Vallo, Esq., Fort Lauderdale, FL. For Respondent: Harry W. Haskins, Esq., Sarasota, FL. CASE INFORMATION Statement of Claim filed: December 27, 1993. Answer of Raymond James & Associates, Inc. ("Raymon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kurt Traulsen 93-05336 Name of Respondent Cantor Fitzgerald Securities Corp. REPRESENTATION For Claimant Kurt Traulsen ("Claimant") appeared Gerald N. Daffner, Esq., a sole practitioner located in New York, New York. For Respondent Cantor Fitzgerald Securities Corp. ("Respondent") appeared Alan Kaminsky, Esq. from the law f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Charles 0. Hampton Claimant, vs. Case # 93-05331 American Bond Group, Inc., Alexander Shvarts, Otra Clearing Inc., & J.B. Oxford & Co. Respondents. REPRESENTATION For Claimant, Charles Hampton, William C Morris, Esq. of the firm Morris & Morris, North Carolina and Andrew A. Strauss, Esq. of the firm Strauss & Jones, North Carolina. For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Stephen J. Gerace 93-05329 Name of Respondents First of Phikdelphk Investment Group, Inc. J. Paul Boyle CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 23, 1993, Claimant Stephen J. Gerace, who appeared Pro Se, alleged that he was hired to execute orders by Respondent Fir

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Marie Lord and 93-05326 Name of Respondents Alex Brown & Sons, Incorporated J. Everett Airington REPRESENTATION OF PARTIES Marie Lord ("Claimant") was represented by Lawrence R. Gelber, Esq., Beigel & Sandier, New York, New York. Alex Brown & Sons, Incorporated ("Respondent Alex Brown") was represented by Daniel J. Do

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nilesh Patel, (Claimant Merrill Lynch Internati Case Number: 01-0287 vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Anil Chaturvedi, and nal Private Client Group, (Respondents) Hearing Site: New York, New York Claimant, Nilesh Patel, Ferrara, Dwyer & Speed REPRESENTATION OF PARTIES hereinafter referred to as "Claimant": Anthony J. Ferrara, Esq., Polstein, , P.C