.N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clai Theodore Desch 95-01312 Name of Respondents M. Rimson & Co., Inc.; James (Igor) Shekhtman REPRESENTATION For Claimant: Theodore Desch ("Desch") was represented by Craig R. Thorstenson, Esq. of Thorstenson & Wetzel, located in Chicago, Illinois. For Respondents: Respondents M. Rimson & Co., Inc. ("M. Rimson' 1 ) and Jam

NASD Arbitration No. 95-01309 N.A.S.p. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of C^. aimant (a)_ Jeffrey D. Esfeld Nam,e .of Respondent (si Paragon Capital Corporation Timothy B. Daley REPRESENTATION Par Claimant: H. Troy Romero, Esq., Vance & Romero, P.S,, Bellevue, Washington For Respondents: David S. Smith, Esq., Smith Campbell & Paduano, New York, New York CASE

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name ojr Qaimantfe) Marc A. Helie Name of Respondents) Merrill Lynch Pierce Fenner & Smith Inc Manuel Mejiaaoun 95-01297 REPRESENTATION For Claimant Marc A. Helie ("Helie") appeared Jeffrey L. Liddle, Esq., Lauremce S. Moy, Esq. and Carl G. GuidaJEsq. of the law office Liddle & Robinson located in New York, New York. — ~3m * - «—- • For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Naomi Spivey 95-01292 Name of Respondent Linsco/Private Ledger Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 14, 1995, Claimant Naomi Spivey ("Claimant"), through counsel T. David Hasbrook, Esq., of Woska, Hasbrook, Dowd, Underwood & Helms, located in Oklahoma City, OK.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter Palmieri 95-01290 Name of Respondents Mercer Securities, Ltd. Estate of Stephen J. Schappell REPRESENTATION For Claimant Peter Palmieri ("Claimant"): Ronald L. Daugherty, Esq. of the law firm of White and Williams, Philadelphia, PA Respondent Mercer Securities, Inc. ("Mercer") is out of business and was unrepresented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roger Reinhart 95-01289 Name of Respondents Mark A. Halperin South Richmond Securities,Inc. Michael Montelli REPRESENTATION Claimant Roger Reinhart ("Claimant") appeared pro se Respondent Mark A. Halperin ("Halperin") appeared pro se Respondent South Richmond Securities, Inc. ("SRSI") did not appear at the hearing

f N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ' Name of Claimant(s) Jonathan Frank 95-01287 Name of Respondent^ Swiss Bank Corporation REPRESENTATION For Claimant, Jonathan Frank ("Claimant"), Neal Brickman, Esq. located in New York, N.Y. For Respondent, Swiss Bank Corp. ("Respondent"), Laura Hoguet, Esq. of the firm Hoguet, Newman & Regal, located in New York, N.Y. CASE INFORMAT

NASD Arbitration No.95-01284 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Jerry & Florie Goulding Name of Respondent Prudential Securities, Inc. REPRESENTATION For Claimants: " Steven W. Strain, Esq., San Francisco, California For Respondent: Patricia A. Fitzpatrick, Esq., Prudential Securities, Inc., New York, New York. CASE INFORMATION Statement of Claim

N A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Helen Pelzman & The Jerry Pelzman Trust 95-01280 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Norman A. Rosner REPRESENTATION For Claimants, Helen Pelzman and The Jerry Pelzman Trust, appeared Helen Pelzman (pro se). For Respondents, Merrili Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") and Norman Rosner

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04629 Harvey L. Malone, Claimant vs. Prudential Securities Incorporated and Christopher S. Montgomery, Respondents. ATTORNEYS: Claimant, Harvey L. Malone ("Claimant"), appeared Pro Se., Metairie, LA. For Respondents, Prudential Securities, Inc. and Christopher S. Montgomery (collectively "Respondents") appeared in-house counsel, Marci B. Gold, Esq., New York, NY. DATE FILED: Octobe