N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Marie and James Chandler 95-02872 Name of Respondents Merrill, Lynch, Pierce, Fenner & Smith, Inc. Richard W. Janaes CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 14, 1995, Claimants Marie and James Chandler ("Claimants"), through their representative, Michael W. Pursley, of

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-00985 Benjamin Rivas and Lazara Rivas, JTWROS Benjamin Rivas and Jacquelyn Rivas, JTWROS Benjamin Rivas and Benjamin Rivas, Jr., JTWROS Names of the Respondents Hearing Site: Tampa, Florida James S. Okun a/k/a Jimmy S. Okun Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member and Associated P

NASD Regulation, Inc. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants) Steven Mait 95-02863 Name of Respondent(s) Oppenheimer & Co., Inc. REPRESENTATION For Claimant Steven Mait ("Mait"): Ronald Shindler, Esq. of Fowler, White, Burnett, Hurley, Banick & Stickroot, Miami, Florida. For Respondent Oppenheimer & Co., Inc. ("Oppenheimer"): John Hecht, Esq. of Morvillo, Abramowitz, Grand, lason, & Silberb

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Mary Ann and John Eger, John Eger Esq. P/S PL & TST DTD 11/20/86, Maryann Eger Shearson as IRA Custodian (Claimants) vs. Smith Barney Shearson, Inc., Roger M. Matloff, (Respondents) Case Number: 95-02855 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Mary Ann and John Eger, John Eger Esq. P/S PL & TST DTD 11/20/86, Maryann Eger Shearson as IRA Custodian, her

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between' Name of .Claimantfs) George Diacoumakos Kenneth A. Barton 95-02833 Name of Respondent^ M.H. Meyerson & Co., Inc. Joseph Schmidt REPRESENTATION For Claimants, Kenneth A. Barton ("Barton") and George Diacoumakos ("Diacoumakos"), collectively ("Claimants") appeared Peter Pearlman, Esq. of the firm Conn, Lifland, Pearlman, Hermann & Knopf

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Lehman Brothers, Inc. f/k/a Shearson Lehman Brothers, Inc. v. Name of Respondent Jeffrey L. Marguiies NASD Regulation, Inc. Arbitration No. 95-02814 REPRESENTATION For Claimant: For Respondent: Statement of Claim filed: Neal S. Robb, Esq. Keesal, Young & Logan Long Beach, California Jeffrey L. Ma

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between John W. Holley Grantor Trust, Barbara Wilson Holley, Mildred A. Pidgeon Revocable Living Trust, Article V Barbara Pidgeon Holley Trust, Article VII Barbara Pidgeon Holley Trust, John Holley and Elizabeth Holley, and Phillip Scott Holley, Claimants, and No. 95-02804 Kidder, Peabody & Co., Inc. and Thomas William Bodine, Respondents, REPRESENT

NATIONAL ASSOCIATION OF SECURITIES DEALKKS » In the Matter of the Arbitration Between Name of Claiiqqnt Richard Gross vs. CASE NO. 95-02755 Name of Respondents Reich &Co. t Inc. Joseph Tito REPRESENTATION Claimant Richard Gross ("Claimant") appeared pro se. For Respondent Joseph Tito ("Tito") appeared James M Maieilo, Esq., of the law firm of Anile & Associates Attorneys and Counselors at Law, located in Glen Cove, New Yo

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the matter of the Arbitration Between NASDR Arbitration No.95-02726 Claudine St. Avalos (Purves) Claimant vs. Smith Barney, Inc. John Delahaye Respondent REPRESENTATION For Claimant: Dennis John Woodruff, Esq., Oakland, California For Respondent: Ben Suter, Esq., and Julie L. Taylor, Esq., Keesal, Young & Logan, San Francisco, California CASE INFORMATION Sta

JUL.10.1998 i:32PM NASD REGULflTION PL. NO.223 P.2/4 ,., N.A.8.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Edward A. & Catherine £. Alden 95-02700 Name of Respondent Cleaiing Services of America, Inc. REPRESENTATION The Claimants appeared pro se. For Respondent: Kenton Knickmeyer, Esq., of the law firm of Thompson Coburn, St. Louis, MO. CASE INFORMATION Statement of Claim