PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert P. Hamlen 92-03740 Name of Respondents D.H. Blair & Company Gregory V. Carter CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 4, 1992, Claimant Robert P. Hamlen, who appeared Pro Se, alleged that on February 22, 1992, Respondent Gregory V. Carter, Account

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Fargo MFG. Co., Inc. 92-03737 Halpert & Co., formerly known as Halpert, Oberst and Company Richard M. Bergstein REPRESENTATION For Claimant: Timothy P. Kebbe, Esq. of the Firm Wien, Malkin & Bettex, located in New York, New York. For Respondent Halpert & Co., Inc.: Anthony W. Djinis, Esq. of the Firm Pickard and Djinis, located in Washington, D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ClaimanUs) Melvin and Edith Bowden Name of Respondents/Cross Claimant Raymond, James & Associates, Inc. (Cross Claimant) Joseph Earl Todd, Jr. 92-03734 Name of Cross Respondent Joseph Earl Todd, Jr. Name of Third Party Respondents Fayc S. Todd Joseph M. Todd For Claimants, Melvin and Edith Bowden ("the Bowdens"): Edward Doug

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NajjjeofClaimants William and Kathleen Dotsikas 92-03733 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Stephen J. Smola For Claimants William and Kathleen Dotsikas ("Claimants"): George L. McGaughey, Esq., of McDonald Hopkins et al. ,. , For Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("MLPFS") and Stephen J. Smola

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Robert R. Kneisiey Case* vs. 92-03727 Name of Respondent Paine Webber. Inc. REPRESENTATION For Claimant: Decian J. O'Donnell, Esq. a sole practitioner. •For Respondent: Paul G. Thomas, Esq. of PaineWebber, Incorporated. CASE INFORMATION Statement of Claim filed: November 2, 1992. Claimant's Submission Agreement was

N A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of uie Arbitration Between Name of Claimants) P\jBUC Louise Mouia 92-03721 Name of Respondent's) South Barney Harris Upham & Co., Inc. For Cbimant Louise Monia: Richard W. Vallario, Esq., sole practitioner Nutley, New Jersey. ' ' ' ' For Respondent Smith Barney, Harris, Upfaam & Co., Inc.: Hugh McGovem, Eaq., in-house couniei of Smith Barney, fibrris, Upham A, Co., I

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Walter Bockmayer and Werner Josef Buehrmann, JTTEN Names of the Respondents Morgan Stanley Dean Witter, Inc. Gail J. Atterman Donald Lockshin Case Number: 01-02514 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES For Walter Bockmayer and Werner Josef Bu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Judith Abouchar 92-03720 Name of Respondents) Merrill Lynch Pierce Fenner & Smith Inc George S. Jobson REPRESENTATION For Claimant Judith Abouchar: David B. Bacon, Esq. of the law firm of Archer and Greiner, Haddonfield, NJ. For Respondents Merrill Lynch, Pierce, Fenner and Smith, Inc. and George S. Jobson: Michael E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith Inc 92-03719 Name of Respondents Edward H. Bruske Megan Smith-Bruske (n/k/a Megan Smith) REPRESENTATION For Claimant Merrill Lynch Pierce Fenner & Smith Inc (referred to as "Claimant" or "Merrill Lynch"): Jeffrey P. Bloom, Esq.of the law firm of Metzger, Hollis, Gordon & Mortimer. For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrill Lynch. Pierce Fenner & Smith Inc 92-03715 Name of Respondent Joel A. Nelson For Claimant at the hearing: Eileen McNerney, Esq. of Merrill Lynch Pierce Fenner & Smith. Inc., New York, New York. For Respondent at the hearing: James H. Kaster, Esq. of Nichols Raster & Anderson, Minneapolis, Minnesota. CASE INFORMATION