N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Virgil and Virginia Parker, JTWROS 92-04260 Name of Respondents Carmen M. Glikberg Mathews. Holmquist & Associates, Inc. REPRESENTATION For Claimants: Virgil and Virginia Parker. JTWROS, were represented by Mark G. Schrader, Esq. of Jennings, Jacknewitz & Schrader, P.C., located in Belleville, Illinois. For Respondents: Ma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Men L. Chappie Case No: 92-04258 Name of Respondents Dean Witter Reynolds, Inc. and Dean Witter Trust Company REPRESENTATION For Claimants, Men L. Chappie ("Chappie"): Charles D. Franken, Esq. in Plantation, Florida. For Respondents, Dean Witter Reynolds, Inc. and Dean Witter Trust Company, ("Witter"): Glenn D. Kelley o

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph A. Ciaramella 92-04256 Name of Respondent Prudential Securities, Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 22,1992, Claimant Joseph A. Ciaramella, who appeared Pro Se, alleged that in August of 1987, he invested with Respondent Prudential S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Helen 0. Toth and the Estate of Zsigmund J. Toth 92-04255 Name of Respondents Smith Barney Harris Upham & Co., Inc. (n/k/a Smith Barney, Inc.) Raymond F. Faby REPRESENTATION The Claimants Helen O. Toth and the Estate of Zsigmund J. Toth ("Claimants") were represented by Richard W. Drury, Esq. and Alexander R. McMullen,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maner of the Arbitration Between Name of Claimants Henry G. Lulkin and Frances Lulkin 92-04250 Name of Respondents Prudential Securities. Inc. Robert Allen RfiiPK KEPT ftiTOr* For Claimants, Henry G. Lulkin and Frances Lulkin ("Lulkin"): Mark A. Tepper. Esq. For Respondents, Prudential Securities, Inc. ("Prudential'') and Robert Allen ("Allen"): Lisa V. Gianneschi, Esq.

c . 3351.11 ?. N.A.S.D. AWAHD NATIONAL ASSOCIATION- OF SECURITIES DEALERS In the Mater qf the Alfa frraf tag Betweea Name of Claimant Pemod & Coatpany 92-04248 Gregory V. Soflivin For Cfctiounc Penzcd ft Cao^my w» wprewued byEegjieC. Gdffis, Biq. of Morxiioo & Hccfeter, bxtMditt Enns C3ty, MStaoassL For Bt^codeot: Gsgaqr V. SotUran wii rejHweaatelbyJ^flajDieKm, B«I. of A-G.Edwanh A Sam, loc, St. Loati, Missouri. 5nffnnnirof QaiMfflBd

NASD Arbitration No. 92-04247 _ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant (s) Paul L . Bishop Name of Respondent (a) A.G. Edwards & Sons, Inc. REPRESENTATION For Claimant: Eric G. Wall is, Esq., Crosby, Heafey, Roach & May, Oakland, California For Respondent: Clay L. Grumke, Esq., A.G. Edwards & Sons, Inc., St . Louis , Missouri CXflg TMfpHMXTIQN

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS PUBLIC In the Matter of Arbitration Between Name of Claimants Harvey Manes Harvey Manes, M.D., P.C. Defined Benefit Pension Plan Harvey Manes, M.D., P.C. Defined Contribution Pension Plan Melissa Manes Wendy Manes vs. Case #: 92-04245 Name of Respondents David Lerner Associates, Inc. Rick Barren REPRESENTATION For Claimants: Bruce Bandes, Esq. and Erol Blank, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Falplat S.A. 92-04235 Name of Respondent Shearson Lehman Brothers, Inc. Name of Third-Party Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Kidder, Peabody & Co., Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 18, 1992, Claimant Falplat S.A., who

NASD Arbitration No. 92-04233 N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant fg) PaineWebber .Incorporated Name of Respondent (s) David Batu REPRESENTATION For Claimant: Scott M. Ratchick, Esq., Hunton & Williams, Atlanta, Georgia For Respondent: David Batu, Hillsboro, Oregon CASE INFORMATION Statement of Claim filed: December 4, 1992 PaineWebber ' s R