NASDR ARBITRATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Gayle Z. Herskovitz 95-03586 Name of Respondents Ferris Baker & Watts, Inc. David F. Pac REPRESENTATION Claimant Gayle Z. Herskovitz ("Claimant") was represented by David H. Zimmer, Attorney at Law, Potomac, Maryland. Respondents Ferris, Baker Watts, Inc. ("FBW") and David F. Pac ("Pac") were represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edith Blatt 95-03582 Name of Respondents Merrill, Lynch, Pierce, Fenner & Smith, Inc. Aquatia L. Owens CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 24, 1995, Claimant Edith Blatt ("Claimant"), through her representative, David Lazer, Esq., of Lazer, Aptheker, Feldman, Rosel

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Kantilal P. Desai, Claimant, v. No. 95-03580 Merrill, Lynch, Pierce Fenner & Smith, Respondent. REPRESENTATION OF PARTIES The Claimant, Kantilal P. Desai, {"Claimant")/ was represented by John A. Koepke, Esq. of Looper, Reed, Mark & McGraw located in Dallas, Texas. The Respondent, Merrill Lynch Pierce Fenner & Smith Incorporated ("Respondent") was represented by Anne D. Whitney, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS James Kaster, Michael, Phil & Nick Colich, Jr., Paul Schneck, Mary Ann Boda, Mark Wernick, Gary Berg, Stephen Levine, Duane L. Graff, John Maas, Claimant, v. NO. 95-03572 R.J, Steichen & Co., Respondent. REPRESENTATION OF PARTIES Claimants James Kaster, Michael, Phil & Nick Colich, Jr., Paul Schneck, Mary Ann Boda, Mark Wernick, Gary Berg, Stephen Levine, Duane L. Graff, J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tiffany L. Smith v. Credit Suisse First Boston, Vincent Bartolotta and Paul Checketts Case Number: 01-01921 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Robert A. Uhl Law Offices of Aidikoff & Uhl Los Angeles, California For Respondents: Credit Suisse First Boston Elizabeth H. Lindh Keesal, Young & Logan Long Beach, California Vin

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Prudential Securities Incorporated, Claimant, -and- No. 95-03565 Christopher Wilson, Respondent. REPRESENTATION OF PARTIES The Claimant Prudential Securities, Incorporated ("Prudential") was represented by Steven P. Gomberg,Esq., Gomberg Kane & Fischer, Ltd., 208 South LaSalle Street, Suite 1800, Chicago, Illinois 60604. The Respondent Ch

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, LNC. In the Matter of the Arbitration Between John Wong, and LilLie A. Wong, Claimants, v. No. 95-03557 Aragon Financial Services, Inc., and Gail Gentry, Respondents. REPRESENTATION Op PARTIES John Wong, and Lillie A. Wong ("Claimants") were represented by Paul A. Conant, Esq., and Brian J. Schulman, Esq., of Galbut and Associates, Phoenix, Arizona. Aragon Financial Services, Inc

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Emilv Decker. No. 95-03556 Merrill Lynch, Pierce, Fenncr & Smith. Inc.. Jeffrey C. Hopp, Sun Investment Services Company, and Robert V. Linkncr, REPRESENTATION OF PARTIES Claimant Hmily Decker ("Claimant") was represented by Joseph H. Spiegel. Hsq. of Joseph H. Spiegel, P.C. located in SouthfiekL Michigan. Respondents Merrill Lynch. Pierce, Fenn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-02191 Name of Respondent Jose A. Kripacz REPRESENTATION For claimant Painewebber, Inc. ("claimant") appeared Thomas M. Mierswa, Jr., Esq., Corporate Vice President and Senior Litigation Counsel of PaineWebber, Inc. Respondent Jose A. Kripacz ("respondent") appeared pro se. CASE INFORMATION Statement

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kurian Chummar; and 95-02190 Name of Respondent D.H. Blair & Company; Frederick S. Levine; Patrick B. Gibson. REPRESENTATION OF PARTIES For Claimant: Claimant Kurian Chummar ("Chummar") was represented by Thomas C. O'Brien, Esq. of O'Brien & Barbahen in Chicago, Illinois. For Respondents: Respondent D. H. Blair & Co. ("B