Award NASD Dispute Resolution In the Matter of the Arbitration Between: Craig S. Chelius and Lynne Hubert Chelius, Claimants v. Greg Hastings and Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Counter-Claimant v. Craig S. Chelius and Lynne Hubert Chelius, Counter-Respondents Case Number: 00-05231 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants/Counter-Respondents: Lawre

NAS.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS III LI 1C I Id I LCI Ul UIC AIUIU dtlUII L)C Name of Claimants Abraham Bohrer and Harriet Bohrer and No. 91-02378 Name of Respondents _-_. -^, Merrill Lynch, Pierce, Fenner & Smith, Inc. Jeffery M. Press REPRESENTATION OF PARTIES For Claimant: Paul J. Sussman, Esq. For Respondent: Arthur Sobel, Esq., First Vice President and Assistant General Counsel, Merrill Lynch, Pier

N.A.S.D. AWARD NATIONAL ASSOdATICK OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of Jules Golden Revocable Trust ) ) ) Case No. 91-02377 ) Mane of Rftflprnrlmt (a) ) ) PniHj-iMal -Baoho Securities IDC. } Stephen Kahane } For Claimant, Jules Golden Revocable Trust ("Golden") : Jules Golden. For Respondent, Prudential Securities, Inc. ("Pn*3ential") and Stephen ("Kahane") : David Burns, Esq. of Prudential Se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gary Ferrazzano •91-02376 Name of Respondents Otra Clearing, Inc. Madison Chapin Associates, Inc. William R. Kelman Anthony Ustica REPRESENTATION For Claimant Gary Ferrazzano ("Claimant"): he represented himself. For Respondent Otra Clearing, Inc. ("Otra"): Scott G. Monson, Esq. of Otra For Respondent Madison Ch

N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of dairants Walter & Gertrude Schaberg 91-02375 Name of Respondents ghoarson T^aiingn Hutton, Inc. Richard Rogers Par Claimants: Walter anrf Gertrude Scbaberg were represented by Michael Salcidb, Esq. of Burch & Cracchiolo, P. A., located in Phoenix, Arizona. For Pog^rmHon^g * fihftarayn Lehman Hutton, Inc., new known as Shearson Broth

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration. Between Name of Claimant John J. Capano 91-02368 Name_oJ__Respondent Citicorp Brokerage / Citicorp Financial Services, Inc. REHosaiafiaTKH The Claimant appeared pro se, The Respondent was represented by Gary Kimnelman, Esq. case Statement of Claim filed on: August 1, 1991. Claimant's Submission Agreement signed on: July 29, 1991.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS PUBLIC In the Matter of the Arbitration Between Name of Claimant(s) Alexandra C. Carmel 91-02365 Name of Respondent! s) Merrill Lynch Pierce Fenner & Smith Inc Shearson Lehman Brothers. Inc. Gail Konstantin REPRESENTATION For Claimant: Katherine Nathan. Esq. of the law firm of Brandeis. Bernstein & Wasserman. For Respondent: John Jenkins. Esq. CASE INFORMATION Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES T7RRTBRS III the letter cf the Arbitratics Sstwasn of Victor H. Goulding 91-02355 of Bear Steams & Conpany and Jamas K. Nugent Claimant, Victor H* nr«iH-< Tvj was represented by Randall S. ^ Esq., and Stephen J. Seoderowitz, Esq. of Greenberger, Krauss & TeDedbaum, Chartered, Chicago, Illinois. RaepcDdaats f Tloar Steams & Ocnpaoy and James K. Nugent represented by Nicholas P.

N.A.S.D. AWARD NATIONAL ASSOCXAITCN OF SfcUJkiTUBS DEALERS In the Matter of the Arbitration Between ) ) Of Alan Brown ) ) ) Case No. 91-02354 ) Name of Dean Witter Reynolds, Inc. Claimant, Alan Broun ("Brown") was pro se. For Respondent, Dean Witter Reynolds, Inc. ("Dean Witter*): Bterd Larfcin, Esq. of Dean Witter Reynolds. Statement of rn«-i™ filed: July 31, 1991. Claimant's Submission Agreement signed: July 19, 1991. R

N.A.S.D. J&K8D NATICNAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o£ Donald & Jane Wible vs. 91-2113 Name_of_ Financial Equities Resources, Inc. Kevin Sakser CENPAC Securities Corporation For Claimants: Jeff rey M. Jones, Esq., Elk Grove, California For Respondent: Financial raj^Hag* Stephen P. Harrington and John Stoffere, Financial < B Tfi^ < r^ an Resources, PMiaH^ipVHfl