N.A.S.D. JTORD NATIONAL ASSQdA!EECtl OF Mmmi'i'i*** DBAI£RS In the Matter of the Arbitration Between Mama of David L. and Cynthia R. Poss 91-01155 -. -iw Maane of Pflcixcident (s) Rotan MDsle me. For dainant: David L. Poss and Cynthia R* Boss were repceseated by Jamee R. Hancett, Esq., J. R. Hannett & Associates, Austin, Texas* For ReepcDdent: Rotan Mosle, Inc* vas represented by BdNard Werner, Esq., FaineWebber Inoorporated, Weebavdcen,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between . -Hi ! f! MARY LACKIE Claimant and 91-01152 MERRILL LYNCH, PIERCE, FENNER & SMTIH, INC. 'AND BRUCE MERCER - -*~ Respondents Claimant Mary Lackie was represented by Graham Clark, Esq. of Mahoney and Hagberg, Minneapolis, Minnesota. Respondent Iferrill Lynch, Pierce, Fenner & Smith, Inc. was represented by James Itenn, Esq. of Merril

_ rte NATIONAL ASSOCIATION N.A.S.D. AWARD SECUR1TI « DEALERS. INC. NATIONAL ASSOCIATION OF SECUWmES JUN 101994 In the Matter of the Arbitration Between Name of Claimant Randy Brandt 91-01149 Name of Respondents Dean Witter Reynolds, Inc. Dean Witter Capital Markets REPRESENTATION Claimant, Randy Brandt was represented by Andrew S. Friedman, £sq, of Bonnett Fairbourn & Friedman, P.C. of Phoenix, Arizona. Respondent

AMSO N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Aatociatlon of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between Name of Claimants Etose B. Giordano and Linda Grabowski vs. Name of Respondent f s \ Rickel & Associates r Inc. Michael Belsky 91-01142 For Claimant: Pro se. For Respondent: Pro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eli Arieli Name of Respondent/Third Party Claimant No. 91-01141 David A. Noyes & Company. ^ Name of Third Party Respondent/Cross Claimant Gregory J. Kuczora REPRESENTATION OF PARTIES For Claimant: Stanley Yaker, Esq., New York, New York. Neither claimant, nor his counsel appeared at the hearing. For Respondent/Third

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Howard and Pearl Strauss, Claimant v. J.B. Oxford & Company and Michael N. Wintjen, Respondents Case Number: 01-01814 Hearing Site: San Diego, California REPRESENTATION OF PARTIES «, For Claimants: Paul W. Thomas, Esq. Paul W. Thomas & Associates Carlsbad, California For Respondents: Jeffrey S. Kob, Esq. Miller Milove & Kob San Diego, California CASE IN

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SHUUklTlKS DEALERS' In the letter of the Arbitration Between ) ) Hame of Claimant (a) ) === ) Charles Meltzer ) ) Case No. 91-01139 ) Name of Resprnrlpntte) ) ) Prudential-Bache Securities Inc. ) Mark Finkel ) Claimant, Charles Meltzer ("Meltzer") was initially represented by Mtndy Felinton, Esq., but discharged her after two (2) sessions and was pro se for < **M» remainder of fche ca

N.A.S.D. WARD NATKNAL ASSOCIATION OF SECURITIES DEAIERS In the Matter of the Arbitration Betwoon Of Panzieri Henderson Inc. 91-01128 Prudential Securities Inc. Richard C. Miller Steven J. Meneely For dadjnant: David W. Marris, Esq., Sole Practitiooer. For Respondents: David T. Garvey, Esq. of Hancock & Estabrook. CRSE daisant filed a Statement of Claim on Jipril 5 f 1991 and executed a Submission Agreement on an unspecified d

1 I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of C3a-imaTit- PaineWebber, Incorporated 91-01127 Name of Respondent Anthony Lee REPRESENTATION For Claimant: Brigitta K. Siegel, Esq. For Respondent: Francis X. Stone, Esq. CASE INFORMATION Statement of Claim filed: April 10, 1991. Claimant's Motion to Bar Unasserted Defenses filed: September 19, 1991. Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Zoly Shteynberg Sofya Shteynberg vs. 91-01120 Pacific Asset Group, Inc. Richard Arrington For Claimant: 2oiy Shteynberg of 2262 17th Avenue, San Francisco, CA 94116 For Reepondant Pacific Asset Group, Inc.: Gene Valentine of Financial Wast Group, 2977 Willow Lane, Thousand Oaks, CA 91361 For Respondent Richard Arrington: Richard Arrington f