N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of (Claimant Sandra Morin vs. NASD Arbitration No.93-04891 Name of Respondent Prudential Securities Incorporated Ricardo Miller REPRESENTATION For Claimant: Jack G. Orr, Esq., Harris, Orr & Wakayama, Seattle, Washington For Respondent: WilliamM. Cassarini, Esq., Prudential Securities, Incorporated, New York, New York CASE

JUN.E9.1999 ll'49ftM NftSD BOCR N0.757 P.2 '- v : N.A.S.DJL SHPULATBD AWARD NATIONAL ASSOCIATION OF SECtWITES DBAXJEBS • In the Mitter of the AiWtnttoe Between PjwteotialSocimtiMlac 93-04890 For n rfr t irtt l Itadcottal SccofitiM, Inc. ("KndtotU") Jack StcoOi Bu, M^I Gtry.M. Miffftf €* Stoi&t RoMdbflfg ft Winftuff, Foit LwdcnblO) For gfftpondent, Ron Applcoun ('Apptenin*): Robert O. Bkite, If., Baq. of Fl«nlnf >

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name qf riainiant PBA of the New York State Troopers, Inc. 93-04888 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Thomas J. Gerber For Claimant appeared Richard L. Burstein, Esq. of Fernandez & Burstein, P.C., Albany, New York. For Respondents Merrill Lynch Pierce Fenner & Smith Inc. and Thomas J. Gerber appeared Howard Meyers, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 93-04880 Name of Respondent Brian M. Gordon CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on November 24, 1993, Claimant, Prudential Securities, Inc. ("Claimant"), through its representative, Robert Meyer, Esq., in-house counsel, located in San Francisco,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Norman W. Schur Trust, Joanna Weber and Warren M. Schur as Trustees 93-04879 Name of Resoondentfs') Kidder, Peabody & Co., Incorporated James P. Dolan, Jr. For Claimant: Warren M. Schur, Esq. of the law firm of Heller, Borreliz and Kate. For Respondents: Brian F. McDonough, Esq. of the law firm of Shanley and Fish

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Richard C, Bentley 93-04874 PaineWebber Incorporated; Frederick Duncan; Grover Miller; James R. Frayard; Ronald Peck; JoArtn Dohanich. REPRESENTATION For Claimant/CounterrRespondent: Richard C. Bentley ("Bentley") was represented by Victor L Versaggi, Esq. of Lafayette, Louisiana, and Stephen H. Myers, Esq., of Roy, Forrest,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Kimberly R. Stefanik, Patricia Bailey Donald Bailey and Robert Bailey 93-04872 of Resondents Gregory Charles Spangler, Spangler Insurance & Investments and Clearing Services of America, Inc. REPRESENTATION For Claimants Kimberly R. Stefanik, Patricia Bailey Donald Bailey and Robert Bailey (collectively referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Plaimant Pflgp NumhfM" 01-02841 Edward B. Bellman, IRA ig Sit**- Pittsburgh, PA Parker/Hunter, Inc. Leo T. Krantz RFPRFSFNTATTOlVf OF PAPTTES Claimant, Edward B. Bellman, IRA ("Bellman"), hereinafter referred to as "Claimant": Darren C. Blum, Esq., Law Offices of Darren C. Blum, P.A., Plantation, FL. Respondents, Parker/Hunter, Inc. ("Parker") and Leo T. Krantz ("Krantz"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant MacKenzie Specified Income Fund, L.P. 93-04871 Name of Respondent NAPEX Financial Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc., November 24, 1993, Claimant, MacKenzie Specified Income Fund, through its representative, C.E. Patterson, alteged that Respondents, Napex Financia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name j?f Scott Shriver, IRA and Paula A. Shriver, IRA 93-04868 of Respondents A.G. Edwards, & Sons, Inc. and Daniel Wayne Roepke OF TI Claimants Scott Shriver, IRA and Paula Shriver, IRA ("Claimants") were represented at the hearing by Larry E. Meyer, Esq. of Pohl, Bennet & Matthews, L.L.P., Houston, Texas. Respondent, A.G. Edward