AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Lehman Brothers, Inc. v. Name of Respondent Robert H. Feldman Arbitration No. 95-05998 For Claimant: For Respondent: Statement of Claim filed: REPRESENTATION Timothy N. Will, Esq. Keesal, Young & Logan Long Beach, California Robert H. Feldman In Pro Per Wethersfield, Connecticut CASE INFORMATION Claimant's Submission

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mitchell Spaiser, (Claimant) vs. Halpert & Company, Inc., Alan P. Halpert, Patrick J. Tiedemann, and Rick Schneiderman, (Respondents) Case Number: 95-05991 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Mitchell Spaiser, hereinafter referred to as "Claimant": Jules L. Federman, Securities Arbitration Consultant, Atascadero, CA. Previously represente

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Lois Potts POA/Shirley Potts Lois Potts Lois Potts Executrix/Estate of Edward Potts 95-05990 Name of Respondents Kidder Peabody & Co. PaineWebber, Inc. George Gregory REPRESENTATION For Claimants ("Claimants") appeared, David Silverberg, Esq., of the law firm Silverberg, Yood, Sellers & McGorry located in Buffalo, New York

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants John McQuillan and Jane McQuillan and Name of Respondents Sharpe Capital, Inc, James Michael Pepio Lanny Todd Fried 01-01125 Minneapolis, Minnesota REPRESENTATION OF PARTIES John McQuillan and Jane McQuillan ("Claimants") were represented prior to the hearing by Scott G. Bowman, Esq. and Kristin R. Sankowitz, Esq., Briggs and Morgan, P.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Logue Revocable Trust 95-05989 Name of Respondents Dean Witter Reynolds Inc. Dennis Oliveira REPRESENTATION For Claimant: Norman Meyers, Esq. of the law firm of Meyers & Bierkan, P.A., Sun City Center, Florida. For Respondent: James D. Yellen, Esq., in-house counsel at Dean Witter Reynolds, Inc. CASE INFORMATION Sta

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant W. Michael Robertson and Names of Respondents Dean Witter Reynolds, Inc., Scott Curren, Cindy S. Hartley and Paul Hughston Case Number 95-05987 REPRESENTATION OF PARTIES Claimant W. Michael Robertson was represented by Bradley Whalen, Esquire of Doyle, Rider, Restrepo, Harvin & Robbins, L.L.P. and Edward Cra

NASD Regulation, Inc. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the. Arbitration Between Name of Claimant Johanna M. Kluger Johanna M. Kluger Revocable Trust 95-05986 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Bruce Arnold Chappell William L. Johnson REPRESENTATION For Claimants: Eric A. Lanigan, Esq. of the Law Office of Eric A. Lanigan, Winter Park, Florida. For Respondents: Michael E. Olney, Esq. of Me

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Donald Arken and Robert Arken 95-05978 Name of Respondents Washington Discount Brokerage Corp. Waterhouse Securities, Inc. REPRESENTATION For claimants Donald Arken and Robert Arken ("claimants") appeared Donald Arken. For respondents Washington Discount Brokerage Corp. ("Washington") and Waterhouse Securities, Inc. ("Wate

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Perk & Schmidt International BV 95-05977 Name of Respondents Roger Watkins Watkins Perk International, Inc. Watkins International Securities, Inc. REPRESENTATION For Claimant Perk & Schmidt International BV ("Claimant"), appeared Michael P. Kaelin, Esq. of the law firm Kelley, Drye & Warren located in Stamford, Connecticut.

AWARD NASD REGULATION. INC.. DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Gregory L. Fullerton NASDR Arbitration #95-05966 vs. Name of Respondent^) Smith Barney, Inc. Robert H. Potter REPRESENTATION For Claimant: Gregory D. Phillips, Esq., Kimball, Parr, Waddoups, Brown & Gee, Salt Lake City, Utah For Respondents: William A. Hohauser, Esq., Smith Barney, Inc., New York, New York CASE INFORMATIO