N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Albert Fasano & Ronald E. Fasano/Fasano Albert & Ronald E Fasano TTEES/Fasano Co Albert Fasano & Donatella Fasano, Jt ten Award vs. » 92-02786 Name of Respondents Kidder, Peabody & Co., Incorporated Robert D. Sherwin REPRESENTATION For Claimants, Albert and Ronald E. Fasano for Fasano Corp., Inc. and Fasano Corporation

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counter-Resoondent Doley Securities, Inc. 92-02780 Name of Respondent/Counter-CIaimant S.N. Phelps & Co. REPRESENTATION For Claimant/Counter-Respondent: Doley Securities, Inc. ("Doley Securities") was represented by Harold E, Doley, Jr., Doley Securities, Inc., New Orleans, Louisiana. For Respondent/Counter-Claimant: S.N.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clai Michael J. Alois NASD Arbitration No. 92-02779 Name of Respondent^ Merrill Lynch, Pierce, Fenner & Smith, Inc. James Ross REPRESENTATION For Claimant: George T. Kelly, Esq., Long Beach, California For Respondents: Michael E. Obey, Esq., Merrill Lynch, Pierce, Fenner & Smith, Inc., New York, New York CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Joseph A. latarola, Joseph A. latarola, IRA, Sunset Construction Co. and Fay latarola 92-02770 Names of Respondents Rauscher Pierce Refsnes, Inc., Sutro & Co. Incorporated. Tucker, Anthony & R.L. Day, Inc. and Richard Bellinfante Claimants, Joseph latarola, Sunset Construction Co. and Fay latarola were represe

1 5 4 X N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES HEALERS In the Matter of the Arbitration Between Case Number 92-02769 Janetta S. Grapperhaus, lf . PUBLIC Claimnt, vs. Andover Group, Inc., Andover Cffcurities, Inc., and Daniel E. Gooding, individually and d/b/a Highland Financial Group, Respondents. REPRESENTATION: Paul E. Parker, Esq. and Nancy Green of Spilman, Thomas, Battle & Klostermeyer, P.O. Box 44

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of' the Arbitration Between Name of flatmamc . „ James A. and Nancy L. Swcany 92-02762 Nqme of Respondents Dean Witter Reynolds Inc. Samuel S. Pollack Donald Schwartz CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on August 18, 1992. Claimants James A. & Nancy L. Sweany, who appeared Pro Se. alleged that Respondent Dean Wi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Stanley F. and Margaret Jaros 92-02761 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Sam M. AJberico REPRESENTATION For Claimants: Roger W. Van Deusen, Esq., of Gaines & Stem Co., L.P.A. For Respondents Merrill Lynch Pierce Fenner & Smith Inc. ("Merrill") and Sam M. AJberico ("Alberico"): Byron Krantz, Esq.,

N.A.S.D. AWARD • NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alan and Maria Benedict Westchester Funeral Home. Inc. Westchester Funeral Home Inc Pension Tr 92-02755 Name of Respondents The Concord Group of Princeton. LTD. Scott Santin Christopher Cahill For Claimants. Alan Benedict. Maria Benedict. Westchester Funeral Home. Inc., and Westchester Funeral Home. Inc. Pension

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (s) Merrill Lynch, Pierce, Fenner & Smith, Inc. NASD Arbitration No. 92-02753 e of Respondent f 3) Steven 0. Sparks REPRESENTATION For Claimant: Thomas L. Taylor, Esq. and Victoria S. Shabanian, Esq., Jones, Bell, Simpson & Abbott, Los Angeles, California For Respondent: H Thomas Fehn, Esq., Fields, Fehn & Sherwin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of the Arbitration Between Name of Claimanttsi George R. and Dorothy K. Williges 92-02752 Name of Respondents) A.G. Edwards & Sons. Inc. Charles A. Pascarella Gus Giviskos John E. Pascarella Patrick O. Pascarella REPRESENTATION The Claimants appeared pro se. For Respondents: M. Jane Matoesian in-house counsel at A.G. Edwards & Sons, Inc. CASE INFORMATION