N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimants Esfandiar Mokhtari and Mehri Matin v. Name of Respondents Paulson Investment Company, Inc. and Sadid Lodhi NASD Arbitration No. 95-00936 For Claimants: For Respondents: REPRESENTATION Edward W. Russey, Esq. and Monty G. Griffin Law Offices of Jeff Dennis Ferentz Newport Beach, California Keith A. Kett

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Annie J. Stevens, and William J. Stevens, Claimants, v. No. 95-00922 Merrill Lynch, Pierce, Fenner & Smith, Inc., and George Eubank, Respondents. REPRESENTATION OF PARTIES Annie 3. Stevens, and William 1 Stevens ("Claimants") were represented by Daniel L. Goldberg, Esq., St. charles, Missouri. Merrill Lynch, Pierce, Fenner & Smith, In

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. and 95-00914 Name of Respondent David Meza REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by Lisa Catalano Tillem, Esq. of Paine Webber, Inc. located in Weehawken, NJ. David Meza ("Respondent") appeared Pro Se'. CASE INFORMATION The Statement of Claim was filed on or about F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arletha P. Kerns 95-00910 Name of Respondents Terry M. Laymon Magellan Securities Inc. Shirley R. Brace ^ CASE SUMMARY [ In a claim filed with the National Association of Securities Dealers, Inc. on February 21, 1995, Claimant Arletha P. Kerns ("Claimant"), who appeared Pro Se, alleged that Respondent Magellan Securitie

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James K. Garland 95-00908 Name of Respondents Edward A. McKay, Jr. Bruce N. Barthold CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 22, 1995, Claimant James K. Garland, who appeared Pro Se, alleged that Respondents Edward A. McKay, Jr. ("McKay"), and Bruce N. Barthold ("B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant Liberty Capital Markets, Inc. NASD Arbitration v. No. 95-00904 Name of Respondents Prudential Securities, Inc., Steven McCoy, Scott C. Kersh, Howard N. Herring and Gene Richard Lombardo, Jr. REPRESENTATION For Claimant: David M. Grey, Esq. Turner, Cooper & Reynolds Irvine, California and Joseph L. Alioto,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Oppenheimer & Co., Inc. 95-00900 Name of Respondent Michael J, Bader REPRESENTATION For Claimant Oppenheimer & Co., Inc. ("Claimant"): Lloyd S. Clareman, Attorney at Law, New York, New York For Respondent Michael J. Bader ("Respondent"): Gerald D. Fischer, Esq. of the law firm of Opton Handler Gottlieb Feiler & Katz, LLP, N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant's) Larry A. Berman 95-00897 Name of Respondent(s^ La Jolla Capital Corp. B. J. Gallison Alex Folgen REPRESENTATION Claimant Larry A. Berman ("Claimant") appeared pro se Respondents La Jolla Capital Corp. ("La Jolla") and B. J. Gallison ("Gallison 11 ) were represented by James C. Weaver, Esq., La Jolla r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Paine Webber, Inc. Name of Respondents) Robert A. Magnan 95-00894 5 National Association of Securities Dealers, Inc. All Rights Reserved REPRESENTATION For .Claimant, PaineWebber, Inc. ("PaineWebber"): Cbirtsfopher L. Griffin, Esq. of Ajinis, Mitchell, Cockey, Edwards & Roe of Tampa, Florida." ^ ;i ^J v

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Judy D. Williams NASD Arbitration #95-00883 vs. Name of Respondent Smith Barney Inc. REPRESENTATION For Claimant: Philip C. Patterson, Esq., Patterson, Barking & Sensenig, Ogden, Utah For Respondent: Chris Wangsgard, Esq., Parsons, Behle & Latimer, Salt Lake City, Utah CASE INFORMATION Statement of Claim filed Feb