Award NASD Dispute Resolution In the Matter of the Arbitration Between: James L. Murphy, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Inc., Respondent Case Number: 01-02625 Hearing She: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Timothy L. Hamilton,, Esq. Hamilton, Hamilton & Mah Cameron Park, California For Respondent: Eric J. Glassman, Esq. Mennemeier, Glassman & Stroud Sacramento, California CASE INFORMATIO

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Charles B. Rupani & Mildred Rupani C & M Coal Co., Inc. Award No. vs. 93-02631 Name of Respondents Stratton Oakmont, Inc. Victor DiFrisco REPRESENTATION For Claimants, Charles B. Rupani, Mildred Rupani and C & M Coal Co., Inc. ("Claimants"), Edwin J. Straussburger, Esq. and Charles Avalli, Esq. from the law firm of Str

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Kenneth George Hill man 93-02625 Name of Respondents G.R. Stuart & Co. Inc. National Financial Services Corporation REPRESENTATION For Claimant Kenneth George Hillman ("Claimant") appeared Richard P. Ferris, Esq., a sole practitioner located in Utica, New York. For Respondent G.R. Stuart & Co., Inc. ("Stuart") appeared Grove

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant O. Beirne Chisolm 93-02622 Name of Respondents Kidder, Peabody & Co., Incorporated Kidder Peabody Asset Management, Inc. George V. Grune REPRESENTATION For Claimant O. Beirne Chisolm ("claimant") appeared Jeffrey L. Liddle, Esq. of the law firm Liddle, O'Connor, Finkelstein, & Robinson located in New York, New York. For

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between OTTO D. CORSINI and KATHLEEN CORSINI, Claimants, v. NASD No. 93-02616 PRUDENTIAL BACHE SECURITIES, Respondent. Representation For Claimants: Steven Green, Esq. of San Diego, California For Respondent: Terry Ross, Esq. and Robert Ericson, Esq. of Keesal, Young & Logan, Long Beach, California Case Information Statement of Claim filed: June 29,1993

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gilford Securities 93-02614 Name of Respondent Thomas G. Bauman REPRESENTATION For Claimant Gilford Securities, Inc. appeared Michael Kalmus, Esq. of the law firm of Kalmus and Martuscello, New York City, NY. Respondent Thomas Bauman appeared pro se. CASE INFORMATION The Statement of Claim was filed on July 6

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Brian J. Clark 93-02612 Name of Respondents The Prudential Insurance Co. of America George Brown RKPRF-SENTATION For Claimant Brian J. Clark ("Claimant") appeared Benjamin D. Liebowitz, Esq., Edison, New Jersey. For Respondents Prudential Securities, Inc. ("Prudential") and George Brown ("Brown") appeared Charles A. Reid, H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Charles Lipton Bert Forman Judith Mark 93-02600 Names of Respondents Shearson Lehman Brothers, Inc. Charles H. Goubeaud Kenneth Donn Donald N. Rich REPRESENTATION For Claimants Charles Lipton ("Lipton"), Judith Mark ("Mark") and Bert Forman ("Forman") appeared Steven M. Kramer, Esq., of the law firm of Steven

CASE NO. 93-02592 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name, of Claimant Khalid Malik Name of Respondent H. J. Meyers & Co. Inc. REPRESENTATION For Claimant, Khalid Malik ("Malik"), Harvey J. Eger, Esq. located in Pittsburgh, PA For Respondent, H.J. Meyers & Company ("Respondent"), Robert A. Uhl, Esq., located in Los Angeles, CA. CASE INFORMATION Statement of Claim was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bruce Bart Allen 93-02587 Names of Respondents Southwest Securities, Inc., Texas Securities, Inc., Sara Sharpe, and Malcolm Stockdale REPRESENTATION Claimant, Bruce Bart Allen appeared pro se. Respondent, Southwest Securities, Inc. was represented by Steven R. Pitzner, Esq. of Sweet & Brousseau, Dallas, Texas. R