N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant City of Englewood 93-03625 Name of Respondents Murchison Investment Bankers, Ltd. Kenneth Schulte REPRESENTATION For Claimant City of Englewood ("Claimant") appeared Michael P. McNamec, Esq. qf Buren, Turner & McNamee located in Dayton, OH. For Respondents Murchison Investment Bankers, Ltd. ("Murchison") and Kenneth Sch

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith Inc. and 01-02740 Nashville, Tennessee Name of Respondents Linsco/Private Ledger Corp. Jonathan P. Bednar William R. Cagle Nature of the Dispute: Member vs. Member and Associated Persons REPRESENTATION OF PARTIES Merrill Lynch Pierce Fenner & Smith Inc. ("Claimant") was represented by Susan M. Guerett

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard C, Berliner 93-03731 Name of Respondents David A. Noyes & Company, and Frank S. Colin REPRESENTATION OF PARTIES Claimant Richard C. Berliner ("Berliner") was represented at the hearing by Dennis C. Waldon, Esq. of Lavin & Waldon, P.C., of Chicago, Illinois. Respondents David A. Noyes & Company ("David A. Noyes") and

NASD REGULATION, INC. AWARD NASD'REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant John Harty 95-03726 Name of Respondents Bancomer Securities International Inc. Casa De Bolsa Bancomer. S.A. REPRESENTATION For Claimant, John Harty, ("claimant") appeared Marshall H. Fishman, Esq. of the law firm Rosenman & Colin located in New York, New York and substitute counsel for Lloyd R. Schwed, Esq. of the law firm Hertz, S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lisette Alcalay 93-03703 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION For claimant Lisette Alcalay ("claimant") appeared Donald F. Schneider, Esq. of Feltman Karesh Major & Farbman, New York, New York. For respondent Merrill Lynch Pierce Fenner & Smith ("respondent") appeared Brian F. Amery, Esq

0 m N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAL] In the Matter of the Arbitration Between Name of Claimantfs) The Pershing Division,of Donaldson, Lufkin & Jenrette Securities Corporation 93-03699 Name of Respondents') Peter N. Lioubin REPRESENTATION Claimant, The Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation ("Pershing") was represented by David J. Campbell, Esq. of Pershing. Respondent,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James & Phyllis Dunleavy, Claimants, v. Case # 93-03696 David Lerner Associates and William Robbins, Respondents. For Claimants: John Kaley, Esq., from the law firm of Weinberg Kaley Gross & Pergament located in Garden City, NY For Respondents: Ruthann G. Niosi, Esq., a sole practitioner located in New York ,NY CASE INFORMATION Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Arthur J. DeBold and M. Dawn Watkins 93-03694 Name of Respondents) A.G. Edwards & Sons, Inc. Fahnestock & Co., Inc. J.B. Hanauer & Co., Inc. Christopher A. Westerfield For Claimants Arthur DeBold ("DeBold") and M. Dawn Watkins ("Watkins"): Michael R. Casey, Esq., Casey and Molchan, Fort Lauderdale, Florida. For Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SKCURTTTF.S DEALERS, INC. In the matter of the Arbitration Between Name of Claimants Sam and Mae Loguidice NASD Arbitration #93-03693 vs. N.mie of Respondents Robert Tretiak First Momauk Securities Corporation Seibt Financial Services, Inc. Hans Seibt Douglas W. Osborne Osborne, Stern & Co. REPRESENTATION For Claimants: Douglas B. Martin, Esq., San Francisco, California For Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marilyn Herlin 93-03623 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Rocio M. Gell CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 15,1993, Claimant Marilyn Herlin, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc.