N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William E. Jackrnan 95-03914 Name of Respondent Fidelity Investments Institutional Services CASE SUMMARY [n a claim filed with the National Association of Securities Dealers, Inc. on August 14, 1995, Claimant William E. Jackman ("Claimant"), who appeared Pro Se, alleged that Respondent Fidelity Investments Institutional Service

Arbitration & Mediation National Association of Securities Dealer*. Inc. * NASD Fininciil Center * 33 Whitehall Slree* * New York, NY 10004 * Fax 212-858-4429 Washington DC Satellite office at: 1735 K Street, NW - 10th Floor * Washington, DC 20006 * Fax 202-72B-69S2 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants, Jerry and Peggy Esterman 95-03912 Name of Joseph Esposito J.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants George W. and Anna R. Krai! 95-03911 Name of Respondents Olde Discount Corporation James Gear CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 14, 1995, Claimants George W. and Anna R. Kroll ("Claimants"), who appeared Pro Se, alleged that Respondents Olde Discount Corporati

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Robert C. Malenchek 95-03910 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Charles M. Anderson REPRESENTATION For Claimant, Robert C. Malenchek, ("claimant") appeared George V. Cornell, III, Esq., Staten Island, New York. For Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") and Charles Anderson

1V,A.S.D. AWARD NATIONAL ASSOCIATION OF SF.rURITTRS DEALERS. INC. In the matter of the Arbitration Between Name of £iaimam(s) LMDE, Inc. v. NASD Arbitration No. 95-03907 Name of Respondent^ Smith Barney Shearson, Inc. and Prudential Securities, Inc. REPRESENTATION For Claimant: Bruce R. Safran, Esq, Law Offices of Bruce R. Safran Tarzana, California For Respondent Smith Barney Shearson, Inc.: James S. Goddard, Esq. Smith Barney S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph W. Murzyn, (Claimant) v. First Union Securities f/k/a Everen Securities and William Bransky, (Respondents) Case Number: 01-01038 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Joseph W. Murzyn ("Murzyn"): Thomas C. ODonnell, Esq. with offices located in Highland, Indiana. Respondents First Union Securities f/k/a Everen Securities ("First Unio

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Andrew Welch 95-03902 Name of Respondents Prudential Securities, Inc. & National Association of T v ^7 , • Securities Dealers, Inc Joseph Zampetti ^^.mc. All Rights Reserved REPRESENTATION For Claimant Andrew Welch: Mitchell Colbert, Esq., sole practioner, Morristown, New Jersey For Respondent Prudential Securities Inc.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jehan Zeb Mir, MD, Claimant v. Barrett Day Securities, Inc., Mohammed All Kahn and Saeed Naqzi, Respondents. Case Number: 95-03901 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jehan Zeb Mir, MD ProSe Lynwood, California For Respondent Mohammed Ali Kahn: Did not appear. CASE INFORMATION Statement of Claim filed: August?, 1995 Claiman

NASD RMHiLATION. INC. AWARD In the Matter of the Arbitration Between Cll* i .m a n t s Douglas Benmngton, Sandra Carnthers Richard Daskin, John Engle.s, James Sampson. George Selby vs. Case No. 95-03895 Najriej)LRespo ndgny Donaldson Lufkin & Jenrette Securities REPRESENTATION For Claimants Douglas Bennington ("Bennington"). Sandra Carrithers ("Carrithers"), Richard Daskin ("Daskin"). John Engles ("Engles"}. James Sampson ("Sampson")

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Josephine J. Thomas, Trustee of the Josephine J. Thomas Trust dated 6/2S/S9 vs. NASDR Arbitration No.95~03892 Name of Respondent Torrey Pines Securities. Inc. Richard Coates REPRESENTATION For Claimant: G. Mark Brewer, Esq., La Jolla, California. For Respondent Torrey Pines: Eileen L. McGeever, Es