N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bernice Lirosi Case # vs. 92-02871 Name of Respondents Cowen & Company Brookehill Equities, Inc. Robert DeRose REPRESENTATION For Claimant, Bernice Lirosi ("Claimant"), Dan Druz, Esq., located in Point Pleasant, New Jersey. For Respondent, Cowen & Company ("Cowen"), Daniel J. Donovan, Esq., in-house counsel, loc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name or" Claimant(s) Christine L. Adamow 92-02866 Name of Respondent s) GKN Securities Corporation Bryan D. Orjuela REPRESENTATION Claimant appeared pro se. For Respondents GKN Securities Corp. and Bryan D. Orjuela: David Smith. Esq. of Smith Cambell & Paduano. CASE INFORMATION Statement of Claim filed: August 24, 1992. Claimant

N.A.S.D AWARD RATIONAL ASSOCIATION OF SECURITIES DEALERS ••> In the Matter or the Arbitration Between Name of Claimants Sheen Financial Resources. Inc. Brian J. Sheen 92-02865 Name of Respondent Financial Institution Clearing Services For Claimants, Sheen Financial Resources, Inc. ("SFRI") and Brian J. Sheen ("Sheen"): pro se. For Respondent. Financial Institution Clearing Services ("FICS"): Gregory Tendrich, Esq. of Financial Instit

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Irwin V. Frankel Claimant v. NASD No. 92-2864 Bear Stearns & Co., Inc. and Jonathan Fink Respondents Representation For Claimant: Peter Kindem, Esq. of Berman, Blanchard, Mausner & Kindem of Los Angeles, CA For Respondent Bear Steams: Steve Goldberg. Esq. and Anthony Pacheco, Esq. of McCambridgc, Deixler, Marmaro & Goldberg of Los Angeles, CA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Beverly Van Cott vs. 92-02855 Name of Respondents A.G. Edwards & Sons, Inc. Fred Corfee For Claimant: Beverly Van Cott ("Claimant") represented herself. For Respondent: A. G. Edwards & Sons, Inc. ("A.G. Edwards"); Clay L. Grumke, Litigation Counsel at A. G. Edwards. For Respondent Fred Corfee ("Corfee"): Peter R. Boutini, 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 92-02849 Name of Respondents Fuel Systems. Inc. RHM Investments. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on August 24. 1992. Claimant Merrill Lynch. Pierce. Fenner & Smith. Inc.. by and through their counsel A. Michael Ferrill.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In me -Matter of the Arbitration Between Name of Claimant R. Vincent Smith 92-02848 Name of Respondents Oppenheiraer & Co.. Inc. Patrick D. Loftus. JH For Claimant at the hearing: John A. Bugg, Esq. of Conner & Winters, Tulsa. Oklahoma. For Respondents at the hearing: Ronald I. Restrepo. Esq. of Doyle, Reed, Restrepo, Harvin & Robbins, Houston, Texas. CASE INFORMATION Statemen

PUBLIC 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 92-02845 Name of Respondent John Munoz CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 24, 1992, Claimant Merrill Lynch Pierce Fenner & Smith, Inc., by and through their counsel A. Michael Ferrill, Esq., of Cox & Smith Incorpora

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sumner Herzog t/a Herzog Associates 92-02844 Name of Respondent/ Third - Party Claimant Shearson Lehman Brothers, Inc. Name of Third-Party Respondent Constant Queller CONSOLIDATED WITH In the Matter of the Arbitration Between Name of Claimant Sumner Herzog t/a Herzog Associates 93-01394 Name of Respondent Co

Award NASD In the Matter of the Arbitration Between: Carty and Company, Inc., Claimant v. Ty Kevin Bauer, Respondent Case Number: 01-02437 Hearing Site: Memphis, TN REPRESENTATION OF PARTIES For Carty and Company. Inc., hereinafter referred to as "Claimant": John J. Helfin, Esq., Bourland, Helfin, Alvarez and Minor, Memphis, TN. For Respondent Ty Kevin Bauer: Scott A. Kramer, Esq., Borod & Kramer, P.C., Memphis TN. CASE INFORMATION Statement of