---__ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between e of ' Sheila Georgette Sadler a/k/a Sheila G. Neitzel NASD #93-00154 vs - AWARD Nam* nf Rftaponrienf David A. Neseon RBPRgflgHTATION For Claimant: IN PRO SE For Respondent: John P. Cione, Esq., of Solana, California CASE Statement of Claim filed: January 14, 1993 Claimant's Submission Agreement signed: December 30, 19

N.A.S.D. FINAL ORDER f NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mattet of the Arbitration Between ~~ Name of Claimant Kenneth TV..Brown 93-00145 of Respondents Dean Witter Reynolds, Inc. PRPftftSffNTATIQN For Ciairnant, Kenneth Brown ("Brown"): L. Anton Rebalko, Esq. Anton Rebalko, RA., Fort Laudcrdale, Florida. Florida. of the Fdr Respondent, Dean Witter Reynolds, too* "(DWR 11 ): Bradford Kaufinan, Esq., af fSt

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants G. George Fox Kathleen S. Fox No* 93-00141 Name of Respondent Paulson Investment Company, Inc. REPRESENTATION OF PARTIES For Claimant G. George Fox: Keevan Morgan, Esq. , of Morgan & Bley, Chicago, Illinois. Claimant Kathleen S. Fox appeared pro se. and relied on her husband and his counsel for her case presentation. For Respondent: Keith A. Ketterling, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Kruke 93-00134 Name of Respondents Andrew A. Lanyi Ladenburg, Thalmann & Co., Inc. REPRESENTATION For Claimant, Michael Kruke: Joseph J. Dehner, Esq. of Frost & Jacobs. For Respondents, Andrew A. Lanyi and Ladenburg, Thalmann & Co., Inc.: Stephen L. Ratner, Esq. of Rosenman & Colin. CASE INFORMATION Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sherto Pension and Profit Sharing Plan Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. James Brandys 93-00131 REPRESENTATION For Claimants: Edward J. Snyder, Esq. of Snyder and Michalski. For Respondents: Solor Colon, Esq., of Nixon Hargrave. CASE INFORMATION Statement of Claim filed: January 11, 1993.

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant The Blackstone Group and Allan Kowalski and 00-05307 Dallas, Texas Name of Respondents Robert D. Schumacher Adam Mosslih REPRESENTATION OF PARTIES The Blackstone Group and Allan Kowalski ("Claimants") were represented by Allan Kowalski. Robert Schumacher ("Respondent Schumacher") did not appear at the hearing. Adam Mosslih ("Respondent Mossl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Adele and Marvin Hirsch 93-00127 Name of Respondents Shearson Lehman Brothers, Inc. Sean M. Sweeney Alexander I. Dever, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 12, 1993, Claimants Adele and Marvin Hirsch, who appeared Pro Se, alleged that Respondents Shearson

FROM NfiSD,INC. 09.62.1994 14:45 P. 2 N,A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nflma of Claimants Glen D, Waldlck & Mfuilia Dnisch Marilla Dnisch, Beneficiary/IRA 93-00118 Name of Dean Witter Reynolds, Inc. REPRESENTATION For Claimants, Glen D. Waldick ("Waldtck") and Marilla Drusch ("Dnisch"); Allan I* Fedor, Bsq. and Fmnell Fedor, Esq. of Fedor & Fedor, Largo, Florida.

NATIONAL ASSOCIATION OF SECURITIES DEALERS BERNADINE F. HAYES, Claimant MERRILL, LYNCH, PIERCE, FENNER, & SMITH, INC., Respondent No. 93-00115 AWARD CASE SUMMARY AND RELIEF REQUESTED This is a claim filed by Bernadine Hayes against Merrill, Lynch, Fenner and Smith on December 27, 1992 seeking damages including consulting fees, expert fees f damages for mental distress, lost wages, and attorneys fees in the total amount of $10

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Jerry Kopf and Ben Stevens 93-00114 Name of Respondents R.D. Kushnir & Co., Richard Kushnir, Joel Weiner, and Jack Cotto REPRESENTATION OF PARTIES For Claimants, Jerry Kopf and Ben Stevens, at the hearing: Jerry Santangelo, Esq, of Neal Gerber & Eisenberg, Chicago, Illinois. For Respondent, R.D. Kushnir & Co., at the hearing, and for Respondents Richard Kushn