N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant Joseph and Eileen Jaminiski 95-01098 Name of Respondent Hanover, Sterling & Co. , Ltd. Adler, Coleman & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 2, 1995, Claimants Joseph and Eileen Jaminiski ("J. Jaminiski"), who appeared Pro Se, alleged that Respondents Hanover,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Linda Samet Name of Respondents Goodwin Telzer Tripp & Co.,Inc. Arlene Telzer Consolidated With Name of Respondents Goodwin Telzer Tripp & Co.,Inc. Arlene Telzer Case No. 95-01096 In the Matter of the Arbitration Between Name of Claimant Eleanore Elefant Case No. 95-01431 REPRESENTATION

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Royal Alliance Associates, Inc. SunAmerica Securities, Inc. 95-01092 Name of Respondents IDS Life Insurance Company American Express Financial Advisors, Inc. REPRESENTATION For Claimants Royal Alliance Associates, Inc. ("Royal") and SunAmerica Securities, Inc. ("SunAmerica") (collectively referred to as "Claimants") appeared Tom Campbell, Esq., Pace

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. Case No. 00-04598 Hearing Site: Boca Raton, Florida Names of Respondents Richard A. and Tiffany M. Winikoff REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") hereinafter referred to as "Claimant": Jason M. Fedo, Esq., Greenberg Trauig, P.A., West Palm Beach, Florida.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Pueblo of Sandia, a federally recognized Indian tribe, Claimant, v. No: 95-01080 Smith Barney Shearson, Inc., and Jeffrey M. Lamb Respondents. REPRESENTATION OF PARTIES Claimant Pueblo of Sandia, a federally recognized Indian tribe, ("Claimant") were represented by Clinton W. Marrs, Esq. of Kemp, Smith, Duncan & Hammond, P.C. located in Albu

N.A.S.D. REGULATION, INC., DISPUTE RESOLUTION ARBITRATION AWARD In the Matter of the Arbitration Between Name of Claimants Charles A. Rey; Rey Marketing, Inc. 95-01075 Name of Respondent Merrill Lynch, Pierce Fenner & Smith, Inc. REPRESENTATION For Claimants: Charles A. Rey and Rey Marketing, Inc. ("Rey") were represented by R. Steven Polachek, Esq., located in Barrington, Illinois. For Respondent: Merrill Lynch, Pierce, Fenner & Smith,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William E. Hauser 95-01070 Name of Respondent James F. Motteler CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 1, 1995, Claimant William E. Hauser ("Claimant"), who appeared Pro Se, alleged that Respondent James F. Motteler ("Respondent"), misrepresented investments by not expla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsi Evelyn Katz 95-01061 Name of Respondent(s) Smith Barney Shearson, Inc. REPRESENTATION For Claimant, Evelyn Katz ("Katz 1 '): pro se. For Respondents, Smith Barney Shearson, Inc., ("Smith Barney") and Rheta Raven ("Raven"): Scott Almas (non-attorney) of Smith Barney, N.Y., N.Y. CASE INFORMATION Statement of Cl

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Francine LaPorta and 95-01059 Name of Respondent David A. Noyes & Co. Bruce Parrish REPRESENTATION OF PARTIES Francine LaPorta ("Claimant") was represented by James J. Eccleston, Esq., Uscian & Eccleston, Chicago, Illinois. David A. Noyes & Co. ("Respondent Noyes") and Bruce Parrish ("Respondent Parrish")(collectively

JRN-29-1996 14:06 FROM 12128584141 P.06 NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Valley Of Tb Sun Wireless, TV, foe. Argent Securities., Inc., and L. Philips Reams, Qaimant/Coraterrcspondeat No. 95-01058 Respondents/Counteickimants REPf^ESENTAJION OF PARTIES Valley Of The Sun Wireless, TV, Inc. ('Claimant") was represented by Michael K. Hair, Esq., of Scottsdale, Arizona.