N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patricia C. Wood 93-04319 Name of Respondents Barrett Day Securities, Inc., and Damon Hewlette REPRESENTATION OF PARTIES Claimant Patricia C. Wood ("Wood") was represented at the hearing by Christopher Q. King, Esq. of Sonnenschein, Nath & Rosenthal, Chicago, Illinois. Respondent Barrett Day Securities, Inc. ("Barrett") was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edmund P. and Cheryl B. Harrington Award No. vs. 93-04318 Name of Respondents E.F. Button & Company, Inc. Mark E. Routhier REPRESENTATION For Claimants, Edmund P. Harrington and Cheryl B. Harrington ("Claimants"), Deborah J. Bero, Esq., located in Norwood, Massachusetts. For Respondents, E. F. Hutton and Mark E. Routhi

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Kamran Niknejad, Claimant v. Morgan Stanley Dean Witter, Inc. and Alexander Plotkin Respondents Case Number: 01-02775 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Kamran Niknejad: For Respondents Morgan Stanley Dean Witter, Inc. and Alexander Plotkin: Stephen J. Riggs, Esq. Brady, Riggs & Ford Pasadena, California Todd E. Gordi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS mt Judith K. Marshman 93-04316 Merrill Lynch, Pierce Fenner & Smith REPRESENTATION OF PARTIES Claimant, Judith Marshman ("Marshman") was represented at the hearing by Paul J. Peralta, Esq. of Baker & Daniels, Respondent Merrill Lynch, Pierce Fenner & Smith ("Merrill Lynch") was represented at the hearing by David L. Lee, Esq. of the Law Offices of David L. Lee, Chicago, Illinois.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Narng pf Christen Brown NASD Arbitration No. 93-04309 Name of Resoondenls Merrill Lynch Pierce Fenner & Smith, Inc. George W.Hugh REPRESENTATION For Claimant: H. Thomas Fehn, Esq. - Fields, Fehn & Sherwin - Los Angeles, California For Respondents: Susan £. M. Rule, Esq. • Morrison & Foerster - Los Angeles, California CASE INFORMAT

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Melvin F. Cohen, M.D., P.C., Money Purchase Plan and Trust, and Melvin F. Cohen Profit Sharing Trust Claimants, v. No. 93-04303 Daniel K. Brinkel Respondent. REPRESENTATION OF PARTIES Claimants Melvin F. Cohen, M.D., P.C., Money Purchase Plan and Trust, and Melvin F. Cohen Profit Sharing Trust were represented by Stephen R. Levin, Esq. of Fa

N.A.S.D. AWARD RECEIVED NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AUK 1 " 1396 In the matter of the Arbitration Between NBMBHKAKSti fta Name of Claimant Lucy B. Doheny v. Name of Respondents Prudential Securities Inc., Edward E. Tullis, Jr. and Bruce Montgomery NASD Arbitration No. 93-04293 For Claimant: For Respondents: REPRESENTATION J. Leo Federman Investors Rights Association Santa Barbara, California and D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Deborah West 93-04289 Name of Respondents Shearson Lehman Brothers, Inc. Curtis Pope CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 18,1993, Claimant Deborah West, through her representative, Thomas Donohue, Esq., alleged that Respondents Shearson Lehman Brothers, Inc. an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs') Robert S.L. Warendorf 93-04287 Name of Respondent^) Bernard B. Beat M.R. Beal & Company MRB Securities Corporation REPRESENTATION For Claimant Robert Warendorf ("Claimant") appeared Bonnie P. Josephs, Esq., located in New York, New York. For Respondent M.R. Beal & Co, MRB Securities Corporation and Bernard Beal ("Re

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant National Financial Services Corporation Name of Respondents Pacific Brokerage Services, Inc. 93-04282 Midland Walwyn Capital Corporation Fahnestock & Co., Inc. Cromwell Weedon & Co. Edward D. Jones & Co. Shearson Lehman Brothers, Inc. Cresvale International, Inc. Smith Barney Harris Upham & Co., Inc. Regional Clearing Corp. U.S. Clearing Corp. C