N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Neil A. Maxwell, Sr. 93-04922 Name of Respondent Smith Barney Shearson, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 30, 1993, Claimant Neil A. Maxwell, Sr., who appeared Pro Se, alleged that Respondent Smith Barney Shearson, Inc. failed to follow his instructions to t

NA.S.D. AWARD NATIONAL ASSOOAHQN OF SECURITIES DEALERS In the Matter 01 the Arbitration Between Name of Claimant John Murphy 93-04885 Name of Rcsponderfl Merrill Lynch Pierce Fenner & Smith, Inc. Name of Third-Party Respondent Kidder, Peabody & Co., Incorporated REPRESENTATION For Claimant John Murphy ("Murphy"): Thomas Campbell, Esq. of the law firm of Smith, Campbell & Paduano. For Respondent Merrill Lynch, Pierce, Fenner & Smith,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Wylie Knight, and Virginia Knight, Claimants, V. NO. 93-04878 R.G. Dickenson & Co. n/k/a Dickenson & Co. , Respondent REPRESENTATION OF PARTIES Wylie and vida Knight ("Claimants") were represented by Bruce Pearson from Fargo, North Dakota. Respondent Dickenson & Co. ("Respondent") was represented by Cathy Gnatek, Esq. of Dorsey & Whitney, Minneapolis, Minnesota. CASE INFOR

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name nf Claimant David W. Bethany and 93-04824 Name of Responriant Oppenheimer & Co., Inc. OV PAHTIES David W. Bethany ("Claimant") was represented by Jeffrey J. Scott, Esq., Krys Boyle Golz Reich Freedman Bean & Scott, P.C., Denver, Colorado. Oppenheimer & Co., Inc. ("Respondent") was represented by Joseph C. Pickaid, Esq., Oppenheimer &

Kx tended Pape I. 1 NATIONAL ASSOCIATION OF SFrURTTTFS DFAT r.RS. INC In the macter of the Arbitration Between Name of Cisim Igor Shocherman NASD Arbitration #93-04738 vs. Nam* rtf Rgspcncisnt Kennedy, Cabot 5c Cornpan>' REPRESENTATION For Claimant; Richard Harrington, Esq., Chandler* Wood, Harrington & Maffly, San Francisco, California For Respondent: George H. Kupper, Esq., Kennedy, Cabot & Co,, Beverly Hills, California TA

N.A.S.D. AWARD In the Matter of the Arbitration Between of Robert Bergamini 93-04700 Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 11,1993, Claimant Robert Bergamini, through his counsel, Michel L Landion, Esq., Brooklyn, NY, alleged that Respondent Prudential Securities, Inc. caused him to lose interest on a $50,000 face value bond, New York State Housing Finance

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rueben Barnett 93-04672 Name of Respondents La Jolla Securities, Inc. CASE SUMMARY In a claim Hied with the National Association of Securities Dealers, Inc. on November 8, 1993, Claimant Rueben Barnett, who appeared Pro Se, alleged that he purchased 10,000 shares of LTV Class C Preferred Stock through Respondent on June 2,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03737 Robert N. Cakes, claimant vs. David L.Rutkoske and Cris Harris, respondents. ATTORNEYS: Claimant, Robert N. Caires, appeared Pro Se, San Diego, CA. For Respondents, David Rutkoske ("Rutkoske") and Cris Harris ("Harris") appeared David E. Graven, Esq., of Counsel, Aurora, CO. DATE FILED: August 21, 2000 CASE SUMMARY: Claimant alleged respondent failed to pay out compensation,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Smith Barney Shearson, Inc. 93-04657 and Name of Respondents Merlin Voorhees & Merlin Voorhees d/b/a Sully County Partners REPRESENTATION OF PARTIES Claimant, Smith Barney Shearson, Inc. ("Smith Barney") was represented at the hearing by J. Jackson, Esq. of Dorsey & Whitney, Minneapolis, Minnesota. Respondents, Merlin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Scottsdale Securities, Inc. 93-04652 Name of Respondent Robert I. Icho CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 8, 1993, Claimant Scottsdale Securities, Inc., through its in-house counsel, Mark Finnegan, St. Louis, MO, alleged that Respondent Robert L Icho, who had open