AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Dorotha M Perkins, Claimant, v, PaineWebber, Inc., Barry L.Harris, and Richard Fellows, Respondents. No. 95-01124 REPRESENTATION OF PARTIES Claimant Dorotha M. Perkins was represented by Thomas F. Sedberry, Esquire of Small, Craig & Werkenthin, P.C. located in Austin, Texas, Respondents PaineWebber, Inc., Barry L. Harris, and Richard

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph Gabbe 95-01117 Name of Respondents Smith Barney Shearson, Inc. Dennis A. Schmidt REPRESENTATION For Claimant: Stephen Rauch, Esq. of the law firm of Rauch & Brody, Palm Beach Gardens, Florida For Respondents: Alejandro Schwed, Esq., in-house counsel at Smith Barney Shearson, Inc. CASE INFORMATION Statement of

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Elmer R. Bender Case No. vs. 95-01116 Names of Respondents Thomas James Monarch Securities, Inc. Thomas James Associates REPRESENTATION For Claimant Elmer R. Bender ("Claimant") appeared John J. Hopkins, Esq., a private practitioner with offices located in Long Branch, New Jersey. For Respondent Thomas James ("James") appeared Dennis A. Cipriano

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Inc., Claimant v. Brian Paterno, Respondent Case Number: 00-04599 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith, Inc., hereinafter referred to as "Claimant": Neil B. Solomon, Esq., Greenberg Traurig, West Palm Beach, Florida. Respondent Brian Patemo appeared pro se. CASE INFORMATION

N A.S D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimnt Marie I. Simpson 95-01110 Names of Respondents R.G. Dickinson & Co. Kemper Securities, Inc. Michael A. Wynn Schneider Securities Inc. REPRESENTATION Marie J. Simpson ("Claimant") was represented by Eugene P. Welch, Esq, and John Svoboda, Esq. from Gross & Welch law firm located in Omaha, NE. R.G. Dickinson & Co. ("Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Margie K. Williams 95-01105 Name of Respondents First Investors Corporation Martin S. Brown CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc, on March 2, 1995, Claimant, Margie K. Williams, through her representative, Michael W. Pursley, of Arbitration Research Consultants, in Safety Ha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sterling Computer Svcs. Profit Sh. Plan Roman J. Sterlin Marie H. Sterlin Roman J. & Marie H. Sterlin, JTWROS 95-01102 (consolidated with 95-01104, 95-02315 and 95-02335) Name of Respondents Joseph Principe Dean Kajorus Berkeley Securities Corp. REPRESENTATION For Claimants Sterling Computer Svcs. Profit Sh. Pl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Noel C. Purdie 95-01097 Name of Respondents Smith Barney Shearson, Inc. n/k/a Smith Barney Inc. Conrad Tetrault CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimant/ Noel C. Purdie, who appeared Pro Se, alleged that Respondents Smith Barney Shearson, Inc. and Conrad

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Helen F. Drake Revocable Trust, Helen F. Drake, Trustee Claimant 95-01093 Smith Barney Shearson, Inc., and Lee A. Weiss Respondents REPRESENTATION Claimant Helen F. Drake Revocable Trust, Helen F. Drake, Trustee ("Claimant") was represented by Robert D. Mitchell, Esq., of Scottsdale, Arizona. Smith Barney Shearson, and Lee Weiss ("Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. IMC, In the matter of the Arbitration Between Name of Claimant(s) Angelita F. Tomanek Thomas J. Tomanek NASD Arbitration No. 95-01091 Name of Respondentfs) Dean Witter Reynolds Inc. Jeffrey M. Seidel Ronald Sherman Carl Hulick REPRESENTATION For Claimants; Karl R. Molineux, Esq., Smith, Merrill & Peffer, San Ramon, California For Respondents: Timm A. VerDuin, Esq.