Award NASD In the Matter or the Arbitration Between: Name of the Claimant Case Number: 01-02659 Gary W. Lavigne IRA Names of the Respondents Hearing Site: Tampa, FL. Lee Alexander Fisher American Investment Services, Inc. REPRESENTATION OF PARTIES For Gary W. Lavigne IRA ("Lavigne"), hereinafter referred to as "Claimant": Thomas F. Shine, Esq. Melbourne, FL. and Christopher T. Vernon, Esq., Treiser, Collins & Vernon, Chtd., Naples, FL., unti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Zhuang Li Cai & Chung Shui Man Name of Respondents Chatfield Dean & Co., Inc. Frank L. Laudano 93-03158 Raymond John Acciardo, Sr. Alan Dillan Name of Third Party Respondents JohnHarth David Gurievsky Cheryl Bauman REPRESENTATION For Claimants Zhuang Li Cai and Chung Shui Man ("Claimants") appeared Zhuang L

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Amerstock Corporation Claimant v. NASD No. 93-03156 John L. Neill, Dorothy W. Neill, and the Neill Trust DTD 11/4/67 Respondents Representation For Claimant: Irving Einhorn, Esq. of Einhorn & Edgerton, Los Angeles, California For Respondents: James Krause, Esq., San Diego, California Case Information Statement of Claim filed: August 4, 1993

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Kenneth E. Rawald Marie Rawald Name of Respondents Prudential Securities, Inc. William Young REPRESENTATION NASD Arbitration No. 93-03155 For Claimants: Jeff Dennis Ferentz, Esq., Greenbaum & Ferentz, Newport Beach, California For Respondents: Joel Levinson, Esq., Prudential Securities, Inc., New

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thelma Kammer 93-03153 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Geraldine Beaudin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 12, 1993, Claimant Thelma Kammer, through her representative, Robert M. Roth of RM Roth & Associates, Thousand Oaks, CA, a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hampshire Securities Corp. Case No. vs. 93-03150 Name of Respondent Pamela Spence Murray REPRESENTATION For Claimant, Hampshire Securities Corp. ("Claimant"), Aegis J. Frumento, Esq. located in New York, New York. Respondent, Pamela Spence Murray -("Respondent"), represented herself at the hearing. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donna Marie Fischer vs. Name of Respondents Channel Securities, Inc. Howe Barnes Investments, Inc. Paul A. Laude Karl M. Sealey Wayne A. Feldman John Franklin Nappy Case# 93-03145 REPRESENTATION For Claimant, Donna Marie Fischer ("Claimant"), Joseph Keenan, Esq. of Bochat & Keenan, P.C., located in Garde

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant The Albert Hitz Revocable Trust, Albeit Hitz, Trustee 93-03135-AWARD Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Jules L. Merron For Claimant, The Albert Hitz Revocable Trust, Albeit Hitz, Trustee ("Hitz"): Robert W. Pearce, Esq. of Lemer & Pearce, Fort Lauderdate, Florida. For Respondents, Merril

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Robert E. Laffan, . • .- . -.:.. 93-03131 Name of the Respondent Gulf stream Financial Associates, A Kemper Financial Company For the Claimant Robert E. Laffan ("Claiirant") : Wiliam Laffan, Jr., Esq. .: ' : ..: - ', :.:.-- .- ' For the Respondent Gulfstream Financial Associates ("Respondent") : Ronald Schindler, Esq.- of Fowler, Wh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jennie R. Jeffries 93-03128 Name of Respondents Schneider Securities, Inc. John Yakimczyk • v . . - • - , ••."•-•- CASE SUMMARY ; In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1993, Claimant Jennie R. Jeffries, who appeared Pro Se, alleged that Respondent John Y