N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David Bloom Family Trust; Edith Bloom; Katie Lynn Bloom; Dianne Bloom 9503074 Name of Respondents M. Rimson and Co, Inc. Moshe Rimson ars - ''"-' James Schecktman . „ _ A« Wghte Reserve, REPRESENTATION For Claimants appeared Anthony J. Horn, Esq. of the law firm of Hwang & Associates P.C. located in Phi

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Ron Pelleg v. Arbitration No. 95-03071 Name of Respondents PaineWebber, Inc., Baraban Securities, and ETI Solutions, Inc. REPRESENTATION For Claimant: L. Stephen Albright, Esq. Wasserman, Comden & Casselman Tarzana, California For Respondent: Robert A. Uhl, Esq. Robert A. Uhl, Inc. Beverly Hills, California

NASD Regulation. Inc. In the matter of the Arbitration Between Name of Claimant fsl PaineWebber Incorporated Arbitration No. 95-03066 Name of Respondent(si Sidney Eng For Claimant; Kathryn L. Krebs, Esq., PaineWebber Incorporated, Los Angeles, California For Respondent: Anthony M. Englese, Esq., San Francisco, California CASE INFORMATION Statement of Claim filed: June 21, 1995 Claimant's Reply to Counterclaim filed: January 16, 1

^ National Association of Securities Dealers, Inc. All Rights Reserved 95-03059 NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Patricia Rogers, individually and on behalf of the Samuel M. Rogers Residual Trust, P.A. Rogers, Ltd. Partnership, and SAROCO, Inc. and Name of Respondent Prudential Securities, Inc. Leslie Reese REPRESENTATION OF PARTIES Patri

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Yvonne R. Acuna and Rodolfo Acuna, et a/., Claimants vs. Smith Barney, Inc., Sterling Smith and Frank Maggio, Respondents. Case Number: 95-03048 Hearing Site: Houston. TX REPRESENTATION OF PARTIES Yvonne R. Acuna and Rodolfo Acufia, Esther A. Almaraz and Ernst G. Arnold, Colibri Holdings, Inc., Rene Gutierrez Jimenez, Mercedes Lenz de Gutierrez and Adriana Gutierrez Lenz,

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between C National Associatio/f of Name of Claimant Securities Dealers, fn:. Frank L. Comes WQ< and Case Number 95-03045 M **#«* Reserved (consolidated with 95-0405 1) Names of Respondents Kirkpatrick, Pettis, Smith, Polian, Incorporated, Dickinson and Company and Robert Vernon REPRESENTATION OF PARTIES Frank L. Comes ("Cl

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ©National Association Of Securities Dealers, Inc. Names of Claimants All Rights Reserved Edward J. and Cora S. Kaffenberger and Case Number 95-03042 Names of Respondents Lehman Brothers, Inc., Harold Green and Doran Young REPRESENTATION OF PARTIES Edward J. and Cora S. Kaffenberger ("Claimants") were represented by Steven Shults, Esq. of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Charles and Maryann Ammon 95-03041 Name of Respondents L.C. Wegard&Co., Inc. Lawrence Weil CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 22, 1995, Claimants Charles and Maryann Ammon, through their representative, Roger E. Grimaldi, Esq. of Grimaldi, Haley & Frangiosa, P.C.

ozo N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank P. Anzeliotti 9503039 & National Association of Securities Dealers, toe. David Berger Eric Peremen AHD-U T> „ T ., All Rights Reserved Ron Liter Christian Rizzo Martin Burke REPRESENTATION Claimant Frank P. Anzeliotti ("claimant") appeared pro se. Respondent David Berger ("Berger") appe

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Anthony & Rita LaPreste 95-03032 Name of Respondents Janney Montgomery Scott, Inc. Mitchell DiClaudio REPRESENTATION Martin G. Rubenstein, Esq., Levy, Angstreich, Finney, Baldante, Mann & Burkett, Philadelphia, PA appeared on behalf of Claimants Anthony and Rita LaPreste ("Claimants"). Anthony D