N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nariie of Claimant Jerome Eckenthal, Substitute-Trustee for the Testamentary Trusts of Carl L. Schweinler, Sr. and the Inter Vivos Trusts created by Anna T. Schweinler 93-00168 Name of Respondent Smith, Barney, Harris, Upham & Company, Inc. For Claimant Jerome Eckenthal, Substitute-Trustee for the Testamentary Trusts of Carl L. Schweinler,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patti D. Donner 93-00167 Name of Respondent Advest, Inc. REPRESENTATION For Claimant, Patti D. Donner ("Donner"): pro se. For Respondent, Advest, Inc. ("Advest"): William C. Freitag, Esq. of Advest, Inc.. CASE INFORMATION Statement of Claim filed on January 12,1993. Claimant's Submission Agreement signed on January

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jon and Karen Rosen Case vs. #93-00164 Name of Respondents Shearson Lehman Brothers, Inc. Gruntal &Co., Inc. Steven J. Waldman REPRESENTATION For Claimants, Jon and Karen Manno Rosen ("Claimants"), Sandor Frankel, Esq. from the law firm of Frankel & Abrams, located in New York, New York. For Respondent, Shearson Le

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Marion D. Sherrill Thomas Diggs, Jr. Michael J. Price Jec J. Cooper 93-00090 Name of Respondents) Prudential Securities Inc REPRESENTATION For Claimants: Gerald B. Kline, Esq., of the law firm of Gerald B. Kline, P.C., Atlanta, GA; Melvin L. Hewitt, Jr., Esq., of the law firm of Isenberg and Hewitt, P.C., Atlanta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John F. Flannery Case # vs. 93-00079 Name of Respondents Shearson Lehman Brothers, Inc. Samuel Paul Crabtree Bruce G. Spence REPRESENTATION Claimant John F. Flannery ("Claimant"), was represented by Frederic N. Halstrom, Esq., from the law firm of Halstrom Law Offices, P.C. located in Boston, Massachusetts. Resp

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. ? CASE: 01-02556 Diana E. Michaels, claimant vs. Stephen R. Beloff and Merrill Lynch, Pierce, Fenner & Smith, Inc. respondents. ATTORNEYS: Claimant appeared pro se, East Rutherford, NJ. For Respondents appeared Christopher D. Cavuoti, Esq., in-house counsel, New York, NY. DATE FILED: May 15, 2001 CASE SUMMARY: Claimant alleged respondents recommended unsuitable investments and faile

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the matter between Marilyn Schneider and No.93-00068 Financial Planning Consultants. Inc.. Kineslev I. Wright. Sr. and Frank Gervascio REPRESENTATION OF PARTIES Claimant, Marilyn Schneider was represented by Marvin Klamen, Esq., Sole Practitioner, of St. Louis, MO. Respondents, Financial Planning Consultants, Inc., Kingsley I. Wright, Sr. and Frank Gervascio . were represented

QfrtUOO NASD Arbitration No. 93-00046 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS^ INC. In the matter of the Arbitration Between Name of Claimant (s]^ Eugene Pollack Name of Respondent(s) F.T. Bank & Associates Vanguard Capital Frank T. Bank REPRESENTATION For Claimant: David C. Hinshaw, Esq., Gansinger, Hinshaw & Buckley, Los Angeles, California For Respondents: Jeffrey S. Kob, Esq., Miller Milove & Kob, San

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Shearson Lehman Brothers, Inc. and 93-00017 Name of Respondent Gary E. and Marilyn Bullock REPRESENTATION OF PARTIES Shearson Lehman Brothers, Inc. ("Claimant") was represented by Charlene F. Marsh, Esq., Little Rock, Arkansas. Gary E. and Marilyn Bullock ("Respondents") appeared pro se. CASE INFORMATION The Statement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Datek Securities Corporation 93-00014 Name of Respondent^ Reich & Co. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1993, Claimant Datek Securities Corporation, through its outside counsel, Simon S. Kogan, Esq., NY, NY, alleged that Respondent Reich & Co., Inc. ente