NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Bernard Turkewitz 96-03055 Name of Respondents Smith Barney Inc. REPRESENTATION Claimant Bernard Turkewitz ("Claimant") appeared Pro-Se. For Respondent Smith Barney, Inc. ("Respondent") appeared, Nicole L. Felton, Esq., in-house-counsel located in New York, New York. CASE INFORMATION The Statement of Claim was received on July 17, 1996. Claimant's Submission

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph F. Hunt 96-03053 Name of Respondent Merrill Lynch Government Securities, Inc REPRESENTATION For claimant Joseph Hunt ("claimant") appeared Richard C. Raymond, Esq., of the law offices McMillan, Constabile, Maker, Murphy & Raymond, LLP located in Larchmont, N&iv York. For respondent Merrill Lynch Government Securit

N.A.SJ>. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-03052 Rick O'Bryan, claimant v. RAS Securities Corp., David S. Prince and Jeffrey S. Nussbaum, respondents. ATTORNEYS: Claimant Rick O'Bryan appeared pro se and is located in Los Angeles, CA. For Respondent RAS Securities Corp, appeared Sheldon Gopstein, Esq. located in New York, NY. For Respondent David S. Prince appeared Steven N. Fuller located in Bosto

N.A.S.D. REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Prudential Securities Inc 96-03051 Name of Respondents Thomas Keyes For Claimant Prudential Securities, Inc. ("Claimant") appeared Christopher Freeze, Esq., in-house counsel for Prudential Securities, Inc., located in New York City, New York. For Respondent/Counterclaimam Thomas Keyes ("Respondent") appeared Ralph Gant, Esq., located in New York City, New York.

Name of Claimant Dean Witter Reynolds Inc. 96-03050 Name of Respondent Jeffrey Ansted REPRESENTATION For claimant Dean Witter Reynolds Inc. ("claimant") appeared Ralph P. Schiavo, Esq., Vice President and Senior Attorney of Dean Witter Reynolds Inc. Respondent Jeffrey Ansted ("respondent") appeared pro se. CASE INFORMATION Statement of Claim was filed on July 15, 1996. Claimant's Submission Agreement was signed on July 12, 1996. Statemen

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. 96-03046 Name of Respondent Robert S. Evans REPRESENTATION For claimant Dean Witter Reynolds, Inc. ("claimant") appeared its representative and in-house counsel Ralph P. Schiavo, Esq. Respondent Robert S. Evans ("respondent") did not enter an appearance at the evident

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Saguaro Asset Holding I 96-03045 Name of Respondent BA Investment Services, Inc. CASE SUMMARY in a claim filed with the National Association of Securities Dealers, Regulation, Inc. on July 16, 1*)%, claimant Saguaro Asset Holding I ("claimant") through its representative and counsel James E. Smith, a sole practioneer located in

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant Teresa C. Womble Case No. 00-05125 Names of Respondents Locust Street Securities, Inc. Roger John Cawiezell Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES For Teresa C, Womble, hereinafter referred to as "Claimant": Nicholas D. Thomas, Esq., Raleigh, North Carolina. For Locust Street Securities, Inc. ("Locust"): Gary S. Par

AWARD NASD Regulation. Inc. In the matter of the Arbitration Between Name of Claimant(s) Michael Reutlinger Aline Reutlinger Arbitration NO. 96-03042 Name of Respondent (s) Commonwealth Associates Peter Fulton REPRESENTATION For Claimants: Steven W. Strain/ Esq., San Francisco, California For Respondents: J.P. Wilson, Esq., Commonwealth Associates, New York, New York CASE INFORMATION Statement of Claim filed: July 5, 1996

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant James P. Congleton NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 96-03039 Name of Respondents Grant Bettingen and Grant Bettingen, Inc. REPRESENTATION For Claimant: James Sanders, Esq. Sheppard, Mullin, Richter & Hampton, LLP Los An