N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Daniel W. Hiler 93-03799 o ~ Charles F. Harris, Jr. REPRESENTATION OF PJ Claimant Daniel W. Hiler ("Hiler") was represented at the hearing Pro Se. Respondent Charles P. Harris, Jr. {"Harris") was represented at the hearing Pro Se. Statement of Claim was filed by Claimant Hiler on September 21, 1993. The Submission Agreement was signed b

N.A.S.D. AWARD ' NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Grady Greer, Trustee for Toledo Carolina Profit Sharing Plan and FBO Toledo Carolina Profit Sharing Trust 93-03767 Name of Respondents Smith Barney Harris Upham & Co., Inc. John Davidson REPRESENTATION For Claimant Grady Greer, Trustee for Toledo Carolina Profit Sharing Plan and FBO Toledo Carolina Profit Sharing Trus

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of. Claimants Regina and Leon Finer 93-03759 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION For Claimant: Donald F. Schneider, Esq. of Feltman Karesh Major & Farbman, located in New York. New York. For Respondent: Brian Atnery, Esq. of Bressler Amery & Ross located in New York, New York. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert J. and Betty D. Durocher 93-03758 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 22, 1993, Claimants, Robert J. and Betty D. Durocher, who appeared Pro Se, alleged that Respondent, Merrill Lynch, Pierce,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ilya I. Novof 93-03752 Name of Respondent E-Trade Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 22, 1993, Claimant Ilya I. Novof, who appeared Pro Se, alleged that Respondent ETrade Securities, Inc. mistakenly sold stock out of his account. Claimant further

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard B. McCarten 93-03750 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 22, 1993, Claimant Richard B. McCarten ("Claimant"), through her representative, Jill Levi, Esq., of Feltman, Karesh, Major & Farbman, l

W03Z- I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Donald M. Stone 93-03732 Name of Respondent(s) Alex. Brown & Sons Incorporated Argent Securities, Inc. REPRESENTATION For Claimant, Donald M. Stone ("Stone"): H.A. Pete Kenning of Atlanta, Georgia. For Respondents, Alex Brown & Sons, Inc. ("Alex Brown"): Daniel E. Mclntyre (in house counsel) who appea

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between RONALD POKRES. Claimant. v. NASD No. 93-3674 KEMPER SECURITIES, INC.. Respondent. Representation For Claimant: Ronald Pokres, Glendale. California For Respondent: Don Andrews, Esq. and Renan Sugarman, Esq. of Kemper Securities. Inc. Chicago, Illinois Case Information Statement of Claim filed: September 3. 1993 Claimant's Submission Agreement

N.A.S.D. FINAL ORDER In the Matter of Arbitration Between Name of Claimant George W. McManus 93-03673 Name of Respondent Merrill Lynch, Pierce, Fenner and Smith, Inc. For Claimant George W. McManus ("McManus"): George W. McManus, pro se. For Respondent Merrill Lynch, Pierce, Fenner and Smith, Inc. ("Merrill Lynch"): A. Ward McKeithen, Esq., of Robinson, Bradshaw and Hinson, P.A., located in Charlotte, North Carolina. CASE INFORMATION Sta

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: JOE TAKATS, IE, individually and as representative of the Estate of JOE TAKATS Claimant, and FIN-ATLANTIC SECURITIES, INC. and SAL CHAUDHRY, registered representative, Respondents Case Number: 01-02745 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant Joe Takats, IE and the Estate of Joe Takats, hereinafter (collectively) referred to