N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roger A. Feldman 93-04918 Name of Respondent The Chapman Co. REPRESENTATION For Claimant Roger A. Feldman ("Claimant"): Randolph C. Knepper, Esq. of the law firm of Levin & Gann, P.A., Baltimore, MD For Respondent The Chapman Co. ("Respondent"): Todd J. Horn, Esq. of the law firm of Venable, Baerjer and Howard, P.C., Baltim

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Name of Claimants Jeffrey E. Estes, Trustee Target Benefit Plan NASD Arbitration No. 93-04914 Name of Respondents Painewebber, inc. REPRESENTATION For Claimants: James C. Krause, Esq. • San Diego, California For Respondent: Catherine J. Pratt, Esq. - Painewebber, Inc. - Los Angeles, California CASE INFORMATION Statement of Claim filed: Novem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name W. Eugene Brain, DDS, P.S., Profit Sharing and Retirement Plan, W. Eugene Brain, Trustee NASD Arbitration No.93-04913 Name of Respondent;.'; Kidder, Peabody & Co., Inc. Newell C. Bossart REPRESENTATION For Claimant: Jack G. Orr, Esq., Harris, Orr & Wakayama, Seattle, Washington For Respondents: William N. Phelps, Esq., Kidder

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Heather Campbell and 93-04909 Name of Respondents Dean Witter Reynolds, Inc., Robert Magel REPRESENTATION OF PARTIES Heather Campbell ("Claimant") was represented by Gerald L. Bader, Esq and Renee B. Taylor, Esq., Bader & Villanueva, P.C., Denver, Colorado. Dean Witter Reynolds, Inc. and Robert Magel ("Respondents") were

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Al A. Simmons & Vincent A. Dagys 93-04905 Name of Respondents Merrill Lynch, Pierce Fenner & Smith Inc., Jon M. Fletcher Claimants Al A. Simmons ("Simmons") and Vincent A. Dagys ("Dagys") were represented at the hearing by Kenneth F. Berg, Esq. of Chicago, Illinois. Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. ("Merrill Lynch") and Jon M.

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Lawrence S. Zombek Case No. vs. 93-04902 Name of Respondents Prudential Securities Inc James Baroutas REPRESENTATION For Claimant, Lawrence Zombeck ("Claimant"), Paul M. Wrubel, Esq. from the law firm of Holienberg Levin Solomon Ross & Belsky, located in Garden City., New York. For Respondents, Prudential Securities Incorporated ("Prudential") and J

NASD DISPUTE RESOLUTION @003/007 Stipulated Award NASD Dispvte Resolution In the Matter of tie Arbitration Between: f>«» Mi^ty-r- 01-02842 Dino Vona Monti Vona ite: Philadelphia, PA Robert A. Johnson Charles Walker Metrin Lynch, Pierce, Feuner and Smith, inc. Claimants, Dino and Nanci Vona ("Claimants"), were represented by Steven M. DranofE Esq., Attorney at Law, Philadelphia, Pennsylvania and Nicholas J. Galliano, Esq., Attorney at Law

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John E. McGowan 93-04901 Name of Respondent Leslie Charles Magmder CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 29, 1993, Claimant John E. McGowan, who appeared Pro Se, alleged that Respondent Mr. Leslie Charles Magruder, who was employed by Olde Discount Corp., failed to t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IT »i:e matter of the Arbitration Between Name of Claimant S. David Airfield NASD Arbitration No.93-04900 Name of Respondents Estate of Henry G. Beam, in Helix Securities, Inc. REPRESENTATION For Claimant: Arthur L. Stern, Esq., Katz, Kutter, Haigler, Alderman, Marks & Bryant, P.A., Tallahassee, Florida For Respondents: Jeffrey L. Silvestrini, Esq., Cohne, Rappaport & Se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dennis Dawes 93-04899 Name of Respondent Steven Petney REPRESENTATION For Claimant: Stanley T. Padgett, Esq. of the Law Offices of Padgett & Mierzwinski, P.A., Tampa, FL. For Respondent: Michael Q. Carey, Esq., New York, NY. CASE INFORMATION Statement of Claim filed: November 29, 1993. Claimant's Submission Agreemen