N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Fn the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 95-03426 Name of Respondent April Robin Kidan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 17, 1995, Claimant GKN Securities Corp. ("Claimant"), through its representative and in-house counsel, [Catherine Nathan, Esq., alleged that Respondent April Robin Ki

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants GKN Securities Corp. 95-03425 Name of Respondents Arthur V. Soriano CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 17, 1995, Claimant GKN Securities Corp. ("GKN"), through its representative and in-house counsel, Katherine Nathan, Esq., alleged that Respondent Arthur Soriano ("S

N.AAD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant M. L. Stem & Co., Inc. NASD Arbitration v. No. 95-03423 Name of Respondent Steven J. Simenhoff REPRESENTATION For Claimant: James D. Portman, Esq. M. L. Stern & Co., Inc. Beverly Hills, California For Respondent: Ross A. Arbiter, Esq. and James V. Jordan, Esq. Solish, Jordan, Arbiter & Weiner Los Angeles, Ca

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. 95-03422 Name of Respondent Jean Pierre Russoniello REPRESENTATION For Claimant, Dean Witter Reynolds Inc. ("Dean Witter"): Bradford D, Kaufman, Esq. and Anne W. Tennant of Steel Hector & Davis, West Palm Beach, Florida. For Respondent, Jean Pierre Russonielio ("Russoniello"): pro se. CASE INFORMA

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard Napoleon, (Claimant) v. H&R Block Financial Advisors, Inc., f/k/a Olde Discount Corporation and Glenn Kendall, (Respondents) Case Number: 00-05308 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Richard Napoleon ("Napoleon"): was pro se. Respondent H&R Block Financial Advisors, Inc., f/k/a Olde Discount Corporation ("H&R Block"), and Glenn Ke

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Angelo Guli no 95-03421 Name of Respondent Smith Barney Shearson, Inc. REPRESENTATION Claimant Angelo Gulino ("Claimant") was represented by Thomas Martin, Esq., Philadelphia, PA. ^ Respondent Smith Barney Shearson, Inc. ("Respondent") was represented by Christine Tracey, Associate General Counsel, New York, NY. CASE INFORM

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECTJRITIES DEALERS. INC. In the matter of the Arbitration Between f Claimant Sarah Sue Brody Name Smith Barney Shearson NASD Arbitration No. 95-03420 REPRESENTATION For Claimant: For Respondent: Sarah Sue Brody, Pro Se Newport Beach, California Ann Parry, Esq. Smith Barney Shearson, Inc. New York, New York CASE INFORMATION Statement of Claim filed: Claimant's Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles E. Kautz Name of Respondent Waddell & Reed, Inc. S> Natkmal Securities All Rights Reserved 9503419 REPRESENTATION For Claimant, Charles E. Kautz ("Kautz"): John R. Kiefher, Jr., Esq. of Riden, Earle & Kiefher, P.A., St. Petersburg, FL. For Respondent, Waddell & Reed, Inc. ("Waddell"): Anthony Durone, Esq. an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Vincent Marchese 93-00159 Name of Respondents Shearson Lehman Brothers, Inc. Vincent Wynne Craig T. Muff REPRESENTATION Claimant Vincent Marchese ("Claimant") was represented by Myron G. Lappen, Attorney at Law. Respondents Shearson Lehman Brothers, Inc. (n.k.a. Smith Barney Shearson, Inc.), Vincent Wynne and Craig

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between STEVEN P. BEIN Claimant v. NASD No. 93-155 SHEARSON LEHMAN BROTHERS, TODD L. PESCAN and LEE J. BEATTIE Respondents Representation For Claimant: Paul Young of Securities Arbitration Group, Inc., Marina del Ray, CA For Respondent: Victor Machinski, Esq., of Smith Barney Shearson, New York, N.Y. Case Information Statement of Claim filed: Januar