NASD Arbitration No. 92-03448 - N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Richard S. Meyer Name nf Respondents) Shearson Lehman Brothers, Inc. David Somrack REPRESENTATION For Claimant: Richard S. Meyer, Sepuiveda, California For Respondents: Elizabeth A. Kendrick, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMATION Statement of Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Thomas Tomanek NASD Arbitration No.92-03446 Name of RespQndent(s) Oppenheimer & Co., Inc. Michael J. Ermi REPRESENTATION For Claimant: Thomas Tomanek, Hayward, California For Respondent: Eugene L. Small, Esq., Oppenheimer & Co., Inc., New York, NY CASE INFORMATION Statement of Claim filed: October 9,1992 Claimant's S

f Award NASD In the Matter of the Arbitration Between: Name of the Claimant Marvin McCray Names of the Respondents Michael J. Artusa RM Stark & Co., Inc. Case Number: 01-02471 Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES Marvin McCray ("McCray"), hereinafter referred to as "Claimant", appeared pro se. For Michael J. Artusa ("Artusa") and RM Stark & Co., Inc. ("RMS"), hereinafter collectively referred to as "Respondents

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NarneofClairnant Donald E. Coplea 92-03443 Name of Respondents Mark New W.B. McKee Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 12, 1992, Claimant Donald E. Coplea, who appeared Pro Se, alleged that he expressed to Respondent Mark New, Account Executive of Res

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Addie Patzke Duke & Wilbur Davidson, Trustees of the Estate of Walter H. Wyeth and 92-03440 Name of Respondents Prudential Securities, Inc.. and David R. Hester REPRESENTATION OF PARTIES Addie Patzke Duke & Wilbur Davidson, Trustees of the Estate of Walter H. Wyeth ("Claimants") were represented by Ralph J. Sirlin, Esq.,

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name ot Claimanus) Suresh B. Kodali. M.D. 92-03437 Name of Respondents) Prudential Securities Inc Rabindra N. Bhattacharya REPRESENTATION For Claimant Suresh B. Kodali, M.D.i R. David Lester, Esq. of Stell, Keenan & Park. Lexington, Kentucky. For Respondents Prudential Securities, Inc. and N. Bhattacharya: William W. Allen, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Names of Claimants .- Charles M. and Carolyn S. HiU 92-03436 Names of Respondents PaineWebber. Inc. William David Wade CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on October 8, 1992 and Amendment to the Statement of Claim filed on November 25, 1992. Claimants, Charles M. and Carolyn S. Hill ("Hill

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS '- In the Matter of the Arbitration Between Name of Claimant NanceeW. Black 92-03435 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc. REPRESENTATION Claimant Nancee W. Black ("Black") appeared at the hearing prose. Respondent Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch") was represented at the hearing by John K. Shannon, Jr., Esq. of Merrill Lynch Pierce Fenne

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Salvatore and Lilian Sgammato 92-03433 Name of Respondents) Chubb Securities, Inc. REPRESENTATION For Claimants: Salvatore and Lilian Sgammato ("Sgammato"): Anthony Zinge, Esq. of Johnson, Blakely, Pope, Bokor, Ruppel & Bums, P.A.. For Respondent: Chubb Securities, Inc. ("Chubb"): Christopher Wells, Esq. of Lane Powell S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rita McNamara Fleet 92-03432 Name of Respondents Shearson Lehman Brothers, Inc. Robert Priolo KBPRKSENTATION For Claimant: Rita McNamara Fleet appeared pro-se. For Respondent, Shearson Lehman Brothers, Inc. and Robert Priolo: John P. Bevilacqua, of Shearson Lehman Brothers, Inc. CASE INFORMATION Statement of Claim f