11/13/2002 15:38 5614177994 NASD PAGE 02/09 Award NASD in toe jvlader or tne Amtcatjon Between: Names of the Claimants Case Number: 01-02785 Ivette Homsi Maria Alicia Bomsi Caroll Khabbaz Homsi of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Pentier & Smith, Inc. Olga Gonzalez-Brimsoe REPRESENTATION OF PARTIES For Ivcttc Homsi ("Ivette 1 '), Maria Alicia Homsi ("Maria Alicia") and CaroU Khabbaz Homsi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lloyd H. & Penelope J. Emery 93-03979 Name of Respondents Gruntal & Co., Inc. Dennis Bodenstein REPRESENTATION Claimants Lloyd H. & Penelope J. Emery ("Claimants") were represented by Lloyd H. Emery Respondents Gruntal & Co., Inc. ("Gruntal") and Dennis Bodenstein ("Bodenstein") were represented by Donald N. Cohen, Ass

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edith Margolies 93-03975 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 30 5 1993 Claimant Edith Margolies ("Claimant"), through her representative, Jill Levi, Esq., of Feltman, Karesh, Major & Farbman,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber Incorporated 93-03973 Name of Respondent John D. Gray REPRESENTATION For Claimant: PaineWebber Incorporated ("PaineWebber") was represented by Nicholas P. Kapur, Esq. and Joseph Generelii, Esq. of PaineWebber Incorporated, Weehawken, New Jersey. For Respondent: John D. Grey ("Grey") was represented by Lawrence R. Goldberg, Esq., loc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name Carolyn D. Seger NASD Arbitration No.93-03967 Mama 0. f KC5IK?ntllrPt Financial Network Investment Corp. Zuk & Associates, Inc. Oscar Sasson REPRESENTATION For Claimant: M. Van Smith, Esq., Palo Alto, California For Respondents: David S. Markun, Esq., and Robert L. Gonser, Esq., Zellc & Larson, San Francisco, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lawrence F. and Frances A. Leonard 93-03965 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 27, 1993, Claimants Lawrence F. and Frances A. Leonard ("Claimants"), through their representative, Jill Levi, Esq., of

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Robert W. and Marilyn J. Johnson and 93-03961 Name of Respondent Curtis R. LeValley Geneva Securities, Inc. Howe Barnes Investments, Inc. REPRESENTATION OF PARTIES Robert W. and Marilyn J. Johnson ("Claimants") were represented by Dennis Waldon, Esq., Lavin & Waldon, Chicago, Illinois. Curtis R. LeValley ("Respondent

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Eugene Francis Kallman 93-03941 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on September 29,1993, Claimant Eugene Francis Kallman ("Claimant"), through his representative, Adam M. Cohen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Tajiddin Shaheed, Claimant, v. No. 93-03917 Investors Diversified, Inc. d/b/a/ CC&Q, Respondent. REPRESENTATION OF PARTIES Claimant Tajiddin Shaheed ("Claimant") was represented by William G. Schwail, Esq., Chattanooga, Tennessee. Respondent Investors Diversified, Inc. d/b/a CC&Q ("Respondent") failed to appear at the hearing. CASE INFORMATION Claimant's Statement of Claim was fil

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of .Claimant(s) Pete Pappas 93-03931 Name of Respondent s) Prudential Securities Inc Robert Rankin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 28,1993, Claimant Pete Pappas, through his representative, Steven G. Grossman, Esq. of Investors Arbitration Services, Inc., alleged that