N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cla|mants Boleslaw Kielar Janina Kielar Award No. vs. 95-00001 Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION Qaimants, Boleslaw Kielar and Janina Kielar, were not represented by counsel. For Respondent, Fidelity Brokerage Services, Inc., David C. Boch, Esq. from the firm of Bingham, Dana & Gould, Located in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dimitar Nikolov 94-03971 Name of Respondent Prudential Securities, Inc. REPRESENTATION For claimant Dimitar Nikolov ("claimant**) appeared Martin Domb, Esq. of the law firm of Hill Betts & Nash located in New York, New York. For respondent Prudential Securities, Inc. ("respondent") appeared Andrew Sidman, Esq. of the law fi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, JNC. In the matter of the Arbitration Between Name of Claimants Virginia Bell, Susan Conrad, Virginia Walleck Logan as co-trustees of The Virginia Walleck Logan Trust; Virginia Walleck Logan Name of Respondents NASD Arbitration No. 94-03788 Corporate Benefit Securities, Inc.; Patrick R. Hobert; Leonard Kahn; Russell Alan Smith; Jonathan Honousek; Weldon Gibson; Steven Peeler; William Sto

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGin ATTQN TNC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant RafiM.Khan NASD Regulation, Inc. Office of Dispute Resolution Arbitration No.94-03333 Name of Respondents Irving Kott, William Stratum, Walter Senior and J.B. Oxford & Co. Name of Claimant RafiM.Khan NASD Regulation, Inc. Office of Dispute Resolution

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fiserv Correspondent Services, Inc. n/k/a Fiserv Securities, Inc. (Claimant) vs. Congressional Securities, Inc., David H. Zimmer, Sherry M. Zimmer, David H. Zimmer Money Pur. Plan, Sherry M. Zimmer Money Pur. Plan, Sheldon L. Contract, Harriet E. Contract, Sheldon L. Contract DDS PA Employees PSP DTD 9-17-87, David C. Diephouse, Youness E. Hendifar, Mahnaz Hendifar, John Joseph, B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Christopher Schmidt and PaineWebber, Incorporated, Claimant/Counterrespondent, v. No. 94-02101 Carty & Company, Inc., Respondent/Counterclaimant REPRESENTATION OF PARTIES Martin Aussenberg, Esq., Memphis, Tennessee, represented Claimants/Counterrespondents Christopher Schmidt and PaineWebber Incorporated ("Claimants"), Shepard D. Tate, Esq., and Christopher G. Lazarini, Esq., of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Scott £. and Beth A. Schoenborn 94-01844 Name of Respondents Paulson Investment Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 17; 1994, Claimants Scott E. and Beth A. Schoenbom, who appeared Pro Se, alleged that Jeff Pieper, a broker at Respondent Paulson Investmen

09= 20 FROM NflSD-fiR3ITRPfTIDN-CNICfiGO TO 12128584141 P.02 N.A.S.D, AWARD T1ONAL ASSOCIATION CjF SECURITIES DEALERS In the Matter of the Arbitration Between Name of' Smith Barney Sbearsoo, Inc.; Bany GUler 94-01248 Respondents Prudential Securities, Inc.; Christina Lyn Stovall For Claimant: Smith Barney Shejuson, Inc. ("Smith Barney 11 } and Bany Ciller ("Oilier 11 ) were represented by Jerome K Raskas, Esq. and Made D.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sergio Lvov 94-01162 Name of Respondents Mark Nicholas Savoca Hanover, Sterling and Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 29, 1994, Claimant Sergio Lvov, through his counsel Martin Mushkin, Esq., New York, NY, alleged that Respondent Hanover Sterling & Co., thro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Kristina Stafen 94-01051 Name of Respondents James F. Welgos CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 18, 1994, Claimant Kristina Stafen, who appeared Pro Se, alleged that Respondent James F. Welgos sold her position in the Van Kampen Merritt Prime Rate Income Trust (