N.A.S.D. AWARD \ATfO.VAL ASSOCIATION OF SECURITIES DEALERS In rht- Matter of the Arbitration Between Name of Claimant Bctt\ Skima NASD Case No. 96-01233 Name of Respondent Eric Lee Ellenhorn REPRESENTATION For Claimant Betty Slama ("Siama") appeared Ralph A. Gant, Esq., New York, NY. For Respondent Eric Lee Elienhorn ("Ellenhorn") appeared Stuart Halper, Esq., Briarcliff Manor, NY. CASE INFORMATION Statement of Claim filed on March 1

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Karen Antos 96-01231 Name of Respondents A.J. Michaels & Co., Inc. James A. Romanosky REPRESENTATION Claimant Karen Antos ("claimant") appeared Pro Se. For respondent A.J. Michaels & Co., Inc. ("AIM") appeared W. Hubert Plummer of the law firm Plummer & Plummer, LLP located in Hauppauge, Ne

Awara NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant UBS PaineWebber Inc. Case No, 01-01183 Names of Respondents Legg Mason Wood Walker, Inc. Glenn E. Brandon, Jr. REPRESENTATION OF PARTIES For UBS PaineWebber Inc. ("PaineWebber"), hereinafter referred to as "Claimant": L. Andrew Brehm, Esq. of Schuyler, Roche & Zwirner, Chicago, Illinois and Lee H. Zell, Esq. of Balch & Bingham, Birmingham, Alaba

NASD REGULATION. INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Kanan and Gail Saib 96-01229 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc. REPRESENTATION Claimants, Kanan and GaiJ Saib ("Claimants") appeared pro-se. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent"), appeared in-house counsel, Marianne Bretton-Granatoor, Esq. of Merrill Lynch, Pierce, Fenner &

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimantfs) Saguaro Asset Holding I Name of Respondentfs) BA Investment Services, Inc. Arbitration No. 96-01222 RE PRES ENTATION For Claimant: Ralph D. Davis, Las Vegas, Nevada For Respondent: Diana L. Sullivan, Esq./ Jones Vargas, Las Vegas, Nevada CASE INFORMATION Statement of Claim filed on or about: March 20, 1996 Supplement to Claim filed on or

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Diane Chidester Arbitration No. 96-01220 Name of Respondent(s) Smith Barney Inc. Reid Cuthbert REPRESENTATION For Claimant: Diane Chidester, Ogden, Utah For Respondents: Etta M. Gumbs, Esq., Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: June 24, 1996 Supplement to Statem

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Anne M. and John Primarolo 96-01219 Name of Respondents Michael A. Lodispoto Landmark International Equities REPRESENTATION Claimants Anne M. and John Primarolo ("Claimants") appeared pro se. Respondents Michael A. Lodispoto ("Lodispoto") and Landmark International Equities ("LIE") did not appear.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between of 96-01215 Interior Product Design, Inc., Leonard Eisen and Joan Eisen, as Trustees FBO Interior Product Design, Inc. , Employees 1 Retirement Plan and Trust, and Leonard Eisen and Joan Eisen, as Trustees FBO Interior Product Design, Inc., Pension Plan and Trust Nyiqp of fiespondents The Harriman Group, Inc. Brian Scanlon Stephen Palumbo REPRESENTATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles Cassaro 96-01213 Name of Respondents A.S. Goldmen & Company, Inc. James Barbour CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 18, 1996, Claimant Charles Cassaro ("Claimant"), who appeared Pro Se, alleged that Respondents A.S. Goldmen & Co. ("A.S. Goldmen") and James

f N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph Doria, Sr. 96-01212 Name of Respondents A.S. Goldmen & Company, Inc. James H. Barbour, III CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 18, 1996, Claimant Joseph Doria, Sr. ("Claimant"), who appeared Pro Se, alleged that Respondents A.S. Goldmen & Co. ("A.S.