NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between ROBERT M. K. FLECK and JANE ALLISON FLECK, Claimants, v. NASD No. 92-4312 SHEARSON LEHMAN BROTHERS and DAN MELLIS, Respondents. Representation For Claimant: Bruce Safran, Esq., Sherman Oaks, CA For Respondent Shearson Lehman Brothers: Timothy Will, Esq., of Keesal, Young & Logan, Long Beach, CA For Respondent Dan Mellis: Dan Mellis Case

DEC-22-1993 15:00 FROM ^WSD-rtRBITRPTION-CNICflGO TO 12126584141 P.02 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Milan C. Chamberlain 92-04311 Name of Respondents Shearson Lehman Button, Inc. Andrew Hill For Claimant, Milan Chamberlain, at toe hearing: Tracy R. Efchbora-Hicks, Esq., Minneapolis, Minnesota. . For Respondents* Sbearson tennian Button, Inc. and Andrew Hill, at the hearing

12-21-1994 04:11PM FROM NASD flrbitration/Chicago TO 12128583974 P.0? N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robeit L. Moore and Deanna Moore 92-04308 Randy K, Pittman Park Avenue Securities, Inc. 'ATION For Claimants at the hearing: Stevtn A. Heath, Biq. of MyaockA Cbevaillicr, Tttlsa, OkUhoma. For Respondent Park Avenue Secnrities, Inc. at tneheanng; Matt

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Chelsea Street Securities. Inc. and 92-04304 Name of Respondents Lew U'eberbaum & Co., Inc., Mark Lew, David R. Clifton, David T. Cawthon, Daniel J. Oreskovich and Paul Byatt REPRESENTATION OF PARTIES Chelsea Street Securities, Inc. ("Claimant") was represented by Joe B. Abbey, Esq., Dallas, Texas. Lew LJeberbaum

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name or Claimant Vinh Cum 92-04302 Name of Respondents BUtmore Securities. Inc. Scott A. Miller REPRESENTATION Claimants appeared pro se. For Respondents. Biltmore Securities. Inc. ("Biltmore") and Scon Miller ("Miller"), Katherine Nathan. Esq. from the law firm of Brandeis. Bernstein and Waserman. CASE INFORMATION Statement of Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Arnold Davidson, Arnold Davidson IRA, Arnold Davidson IRT, Jean Davidson. Jean Davidson IRT. Waltham Pharmacy, Inc. and Waltham Pharmacy, Inc. Profit Sharing Trust 92-04300 Name of Respondents Roney & Co. Marc S. Adels For Claimants: Joseph Spiegel, Esq., a sole practitioner. For Respondents Roney & Co. ("Roney") and Marc

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between . ; :•* • • NaajeofCbimant •" p -^^\^?^\^^^^^^.' • PaulRaucci 92-04299 Name MerriD Lynch Pierce Feaner ft Smith, Inc. Robert Dulin CASE SUMMARY to t claim filed with the National Association of Securitk* Deakn, Inc. on December 28,1992, Claimant Paul Rancri, who appeared Pro Se, alleged that in 1986 Reapondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel J. Trierweiler 92-04297 Name of Respondent Martin H. Corsberg For Claimant: Jacqueline D. Scott, Esq. of Varnum, Riddering, Schmidt & Hewlett. For Respondent: Clifford L. Neuraan, Esq. of Neuman & Cobb. CASE INFORMATION Statement of Claim filed: December 23, 1992. Claimants' Submission Agreement signed on: Decemb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Dean Witter, Inc., (Claimant) vs. Thomas Boone, (Respondent) Case Number: 01-02551 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Morgan Stanley Dean Witter, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent, Thomas Boone, hereinafter referred to as "Respondent": Roger A. Serruto, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Geoffrey Morrow 92-04296 Name of Respondents Jersey Capital Markets Group, Inc. John T. Booth Thomas Martin For Claimant, Geoffrey Morrow ("Morrow"): Shenie B.Marcus, Esq. of Marcus & Associates, P.A., Miami, Florida. For Respondent, Jersey Capital Markets Group, Inc. ("Jersey"), and John T. Booth ("Booth"): Thomas A. R