N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara Miller 95-01081 Name of Respondent Prudential Securities Inc REPRESENTATION Claimant Barbara Miller ("Claimant") appeared pro se Respondent Prudential Securities, Inc. ("Respondent") was represented by David B. Gorfinkel, Assistant General Counsel, Prudential Securities, Inc., New York, NY CASE INFORMATION T

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Eileen and Barry Bachenheimer, (Claimants) vs. Hanover Sterling & Co., Ltd., Randy M. Ashenfarb, and James Crimi (Respondents). Case Number: 95-01076 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Claimants Eileen ("Eileen") and Barry ("Barry") Bachenheimer, "Claimants": Dan Druz, Esq., Manasquan, New Jersey. For Respondent Hanover Sterling & Co., Ltd. ("Hanover")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold L. & Vivian C. Kemp 95-01073 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Patricia Prucha Slagle CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 2, 1995, Claimants Harold L. and Vivian C. Kemp ("Claimants"), through their representative Richard W. Groner, E

AWARD NASD REGULATION. INC- In the matter of the Arbitration Between Name of Claimants Daker S. Volkert and Betty L. Volkert v. Arbitration No. 95-01063 Name of Respondents Paulson Investment Company, Inc., Investors Associates, Inc., Alex Cherepakhov, Donna Silverman Cherepakov and Roland Acevedo REPRESENTATION For Claimants: Karl D. Mowery, Esq. Law Offices of Karl D. Mowery Hemet, California For Respondent Investor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimantfs) Helen L. Olson Roy L. Olson NASD Arbitration No. 95-01062 Name of Respondent(s) Dean Witter Reynolds Inc. Kevin Wilson REPRESENTATION For Claimants: Helen and Roy Olson, Suisun, California For Respondents: Janet T. Epstein, Esq., Dean Witter Reynolds Inc., San Francisco, California CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch Pierce Fenner & Smith, Inc. Case Number: 00-04597 Joseph Paterno and Mary Lou Paterno Hearing Site: Fort Lauderdale, Florida REPRESENTATION OF PARTIES Merrill Lynch Pierce Fenner & Smith, Inc., hereinafter referred to as "Claimant": Bradford D. Kaufman, Esq., Jason M. Fedo, Esq., Neil B. Solomon, Esq. and Todd Zuckerbrod, Esq., Greenberg Traurig, P.A., West Palm Beach,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Michael A. Jirete, Claimant, v. No. 95-01055 Dickinson & Company, Respondent. REPRESENTATION OF PARTIES Claimant Michael A. Jirele was represented by Paul N. Young of Securities Arbitration Group, Inc. located in Marina Del Ray, California. Respondent Dickinson & Co. was represented by Kasey M. Kincaid, Esquire of Faigre & Benson and Barbara

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Christian V. Marcussen Trust 95-01050 Name of Respondents Kennedy, Cabot & Company Allison B. Clago CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 28,1995, Claimant Christian V. Marcussen Trust ("Claimant"), through its representative, Christian V. Marcussen, alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mukund L. Vasa 95-01045 Name of Respondents Prudential Securities, Inc. Sam Cornelius CASE SUMMARY ("^ In a claim filed with the National Association of Securities Dealers, Inc. on February 28, 1995, Claimant Mukund L. Vasa, through his representative, William S. Shepherd, Esq., located in Houston, TX, alleged that Responde

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Joseph J. Dydio and Case Number 95-01041 Prudential Securities, Inc., and Mark Andrus REPRESENTATION OF PARTIES Claimant Joseph J. Dydio ("Claimant") was represented by Paul J. Sussman, Esq. of the Law Offices of Paul J. Sussman, located in Chicago, Illinois. Respondent Prudential Securities, Inc. ("PSI") and Respondent Mark Andrus ("Andrus") were r