NASD Arbitration No, 92-03809 N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of rlaimant(s) Nargis Suleman Name of Respondent (s) Prudential Securities Incorporated J. Gary Larsen Gerald P. McBride REPRESENTATION For Claimant: Karen R. Goldberg, Esq. and Jeffrey W. Kramer, Esq., Troy & Gould, Los Angeles, California For Respondents; Michael M. Gless, Esq., David M. Ba

1 PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John R. and Joyce Wheeler, .JTWROS ,. . Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent CASE #92-01999 AWARD In a claim filed with the National, Association-of Securities Dealers, . Inc, on : '.June 16, 1992, Claimants.:; John &. and . Joyce Wheeler, who appeared Pro Se, alleged ; _that : . R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lawrence C. LeBIanc and L&L Properties vs. 92-01996 Name of Respondents Prudential Securities Inc Matthew Capone Michael Lewis REPRESENTATION For Claimants, Lawrence C. LeBIanc and L&L Properties ("Claimants"), Peter L. Resnik, Esq. and Steven W. Kasten, Esq., from the law firm of McDermott, Will & Emery. For Responden

N.A.S.D. FINAL AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant H. Paul Richards 92-01995 Name of Respondents Shearson Lehman Brothers, Inc. Prudential Securities, Inc. Theodore G, Peck REPRESENTATION For Claimant H. Paul Richards ("Claimant") appeared David Robbins, Esq. of the law firm of Kaufman, Finer Yaman Gilden & Robbins located in New York City, New York. For Respo

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joan W. Weston 92-01994 Name of Respondent Prudential Securities Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 16, 1992, Claimant Joan W. Weston, who appeared Pro Se, alleged that Respondent Prudential Securities, Inc. recommended an unsuitable investment, VMS Mo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Luis Herrero M.D. Chartered Profit-Sharing Trust NASD Case Number 92-01992 Name of Rcspondent(s) Wakefieid Financial Corp. Alexander Minella Comprehensive Capital Corp. G.K. Scott & Co., Inc. George Kevorkian John Kevorkian Mark Czaja Parsons Eng Joseph Zaborowski Keith Friedman Kenneth Stoops

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ernesto R. Espiritu Howard Fuechlin No. 92-01990 Name of Respondents Tucker Anthony, Incorporated Osborne Jones REPRESENTATION OF PARTIES For Claimants: John Troelstrup, Esq., of Griffin & Staat. Ltd., Chicago, Illinois. For Respondent Tucker Anthony, Inc.: Patrick J. Howley, Esq., of Tucker Anthony, Incorporated, New

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04997 Frances Barilla, claimant vs. Garrick Lynch and Raymond James Financial Services, respondents. ATTORNEYS: Claimant appeared Pro Se, Indian Shores, FL. For Respondents John M. Norton II, Esq., in-house counsel, St. Petersburg, FL. DATE FILED: November 10, 2000 CASE SUMMARY: Claimant alleged that respondents liquidated all of claimant's holdings. Claimant further alleged th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name qf Claimants Steven, Judith, Marc and Jeremy Wurtzman Harold Paley Trust 92-01986 Name of Respondents Tucker Anthony Incorporated Svcn Monbcrg Pbr Claimants Steven, Judith, Mare and Jeremy Wurtzman and Harold Paley Trust: Robert J. Peaiiman, Esq. of the law firm of Robert J. Pearl. R>r Respondents Tucker Anthony Incorporated and Svcn M

N.A.S.D. AWRRD Arbitration NATICNAL ASSXIATICN OP SECORITE3S DEALERS In the Matter of the Arbitration Between Name of Claimant (s) William and Betty Kaplan, 91-02942 Name of Respondent (s) Merrill Lynch Pierce Fenner & Smith Inc Glenn D. National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. LauderdaJe. Rorida 33301 (305) 522-7391 For Claimants, William & Betty Kaplan ("the Kapl