N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Isabel C. Diamond NASD Arbitration v. No. 93-03182 Name of Respondents Michael M. Markow Salvatore A. Vecchio REPRESENTATION For Claimant: Sean A. Davitt, Esq., Newport Beach, California For Respondents: William J. Lopshire, Esq., Lopshire & Barkan, Woodland Hills, California CASE INFORMATION Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ben Frank Howard H. Frank, P/O/A 93-03181 Name of Respondents Steven R. Gurtov Barbara J. Armeli CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 13, 1993, Claimant Ben Frank, through his representative Howard H. Frank, with Power of Attorney, alleged that Respondents Bar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Marion L. and Arlene D. Martin, ind/ttee 93-03180 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert W. Orr CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 13, 1993, Claimants Marion L. and Arlene D. Martin, et al., through their representative, Brian Lowe o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Donald Heinrich, and Dorrie Heinrich, Claimants, v. No. 93-03179 CFD Investments, Inc., Jerry Jensen, and Mick Owens, Respondents REPRESENTATION OP PARTIES Claimants Donald & Dorrie Heinrich {"Claimants") were represented by Brian K. Lowe, of Investors Arbitration Services, Inc., Woodland Hills, California. Respondents CFD Investments, Inc. and Mick Owens ("Respondents")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS of Alice R. Wood 93-03178 DeBorah Stanford Waddell & Reed, Inc. REPRESENTATION OP PARTIES For Claimant, Alice Wood at the hearing: Thomas Vaughn, Esq. and Gerald S. McCarthy, Esq. of Thomas E. Vaughn & Associates, Chicago, Illinois. .•-•-, • f • • -^ For Respondents, DeBorah Stanford and Waddell & Reed, Inc. at the hearing: Rodney 0. McWhinney, Esq. of Waddell & Reed, Inc.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Legg Mason Wood Walker, Inc. 93-03176 Name of Respondent Joel K. Gothold REPRESENTATION For Claimant, Legg Mason Wood Walker, Inc. ("Claimant"), John Snyder of Bingham, Dana, & Gould located in Hartford, Connecticut. For Respondent, Joel K. Gothold ("Respondent"), Eliot B. Gersten of Gersten & Clifford, located in Hartford,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF < rECURITTFS DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Alexander Co. vs. NASD Arbitration 93-03164 Name nf Respondent F.N. Wolf & Co., Inc. Matthew Michael Simi REPRESENTATION For Claimant: Bruce Garfield, Investors Arbitration Services, Inc., Woodland Hills, California For Respondent: Alvin L. Fishman, Esq., Tesler, Sandmann & Fishman, San Francisco, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Andrew T. Miltenberg Bruce Miltenberg 93-03161 Name of Respondents Shearson Lehman Brothers, Inc. Wedbush Morgan Securities Brooklyn Capital & Sec. Trading Inc. Johnson, McKenney & Carr Securities Inc. Lloyd Beirne James Carroll David Rybstein REPRESENTATION For Claimants Andrew T. Miltenberg (hereinafter r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Vincent Mure Award No. vs. 93-03160 Name of Respondents Escalator Securities, Inc. GSG Global Securities Group John J. Kier Douglas R. Benz Lawrence R. Munck Mark Simon Keith Buscemi REPRESENTATION Claimant, Vincent Mure ("Claimant"), appeared pro se. For Respondent, Escalator Securities, Inc. ("ESI"), L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alice and Jill Wolk 93-03159 Name of Respondent Muriel Siebert & Co., Inc. For Claimants Alice and Jill Wolk ("Claimants"): Stephen Lissberger. For Respondent Muriel Siebert & Co., Inc. ("Respondent"): Nicholas Dermigny. CASE INFORMATION Statement of Claim filed: August 11, 1993. Claimants' Submission Agreement signed on