N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rajeshree A. Patel 93-02778 Name of Respondents Hamilton Investments, Inc. and Anthony Quirini Representation of Parties Claimant, Rajeshree Patel (hereinafter, "Claimant") was represented at the hearing by Alan Block, Esq. of Block & Landsman, Chicago, Illinois. Respondents, Hamilton Investments, Inc. and Anthony Quirini (

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Churchill P. Goree, Claimant, v. Shearson Lehman brothers, Inc., A. G. Edwards & Sons, Inc., Paine Webber, Inc., Rafael Golan, Bruce K. Dorfhian, and Wall Street Trading Group, Ltd., Respondents, and No. 93-02777 A. G. Edwards & Sons, Inc., Counterclaimant, v. Churchill P. Goree, Counterrespondent REPRESENTATIO

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gloria H. Gibson, and Susan T. Poldino, Claimants, v. No. 93-02774 Dean Witter Reynolds, Inc., Respondent REPRESENTATION OF PARTIES Gloria H. Gibson, and Susan T. Poldino ("Claimants") were represented by Michael Salcido, Esq., Scottsdale, Arizona. Dean Witter Reynolds, Inc. ("Respondent") was represented by David P. Restaino, Esq., of De

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Carroll, (Claimant) vs. Ladenburg Thalmann & Co. Inc. and Michael Kordieh, (Respondents) Case Number: 01-02617 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard Carroll, hereinafter referred to as "Claimant^, appeared pro se Respondent, Ladenburg Thalmann & Co. Inc. ("Ladenburg")-' Peter J. Biging, Esq., Ohrenstein & Brown, LLR Garden City, NY.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. In the matter of the Arbitration Between Name nf Claimants Florence Conway Tim Conwav NASD Arbitration #93-02755 vs. Name of Respondents Chatfieid Dean & Co.. Inc. Kober Financial Corporation The Kober Corporation Stephen Goodman REPRESENTATION For Claimants: Clifford L. Beem, Esq., Beem & Mann, P.C., Denver, Colorado For Respondent Chatfieid Dean & Co.: Christa D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael J. and Anne Smylie 93-02741 Name of Respondents Joseph Ralph Abbruzzi Legg Mason Wood Walker, Incorporated REPRESENTATION For Claimant Michael J, and Anne Smylie ("Claimants"): Michael J. Stack, Jr., Attorney at Law, Philadelphia, PA. For Respondents Joseph Ralph Abbruzzi ("Abbruzzi") and Legg Mason Wood Walker

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Frank Marchese 93-02739 Name of Respondent Shearson Lehman Brothers, Inc. and Ronald Smith REPRESENTATION For Claimant, Frank Magaletta, Esq. of the law firm of Lampf, Lipkind, Prupis, Petigrow & Labue, West Orange, NT For Respondents, James Goddard, Esq., of Smith Barney Shearson, Inc. (formerly Shearson Lehman Bros., Inc.

N.A.S.D. AWARD i NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants John L. and Jacqueline F. Palmer 93-02723 Names of Respondents Merrill Lynch Pierce Fenner & Smith Inc. David R. Finkel REPRESENTATION For Claimants, John L. and Jacqueline F. Palmer ("the Palmers"): Joseph C. Skalski, Esq., of Clearwater, Florida. For Respondents, Merrill Lynch Pierce Fenner & Smith, Inc. ("MLPFS")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Francis W. McCleary 93-02394 of Respondents Thomas Michael Joyce, Connecticut Securities and Legg Mason Walker, Inc. REPRESENTATION OF PARTIES Claimant, Francis McCleary ( "McCleary" ) was represented at the hearing by Linda J. Garofola, Esq. of Reynolds, Motl, Sherwood and Wright, Helena, Montana. Respondent, Thomas Michael Joyce ("Joyce") appeared at the hea

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David W. Hicks, Sr. and NASD Number 93-02384 Gruntal & Company, Inc. REPRESENTATION OF PARTIES Claimant David E. Hicks, Sr. was represented by Michael Farrell, Esq. of Wells, Moore, Simmons & Neeld located in Jackson, Mississippi. Respondent Gruntal & Company, Inc. was represented by Jonathon Taylor, Esq. of Schulte Roth & Zabel located in New Yo