N.A.SD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas R. Connelly 93-02598 Name of Respondents PaineWebber, Inc. Jack Cashman PaineWebber Properties, Inc. REPRESENTATION For Claimant Thomas R. Connelly ("Claimant"): Killis T. Howard, Attorney at Law, Lynchburg, VA. For Respondents PaineWebber, Inc., Jack Cashman and PaineWebber Properties, Inc. (collectively refe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph and Audrey Erti, (Claimants) vs. Prudential Securities Inc. and James Reilly, (Respondents) Case Number: 00-03709 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Joseph and Audrey Erti, hereinafter collectively referred to as "Claimants", appeared pro se. Respondents, Prudential Securities Inc. ("Prudential") and James Reilly ("Reilly"), he

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Shinu and Prabha Murthy Case # 93-02596 Name of Respondents Stockbridge Partners, Inc. Philip A. Parker Kurt Feshback REPRESENTATION For Claimants, Shinu and Prabha Murthy ("Claimants"), Roger W. Van Deusen, Esq., from the law firm of Gaines & Stern Co., LPA located in Cleveland, Ohio. For Respondent, Stockbridge P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Madeline A. Page Case # vs. 93-02588 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc. REPRESENTATION For Claimant, Madelin A. Page ("Claimant"), Robert W. Page, Jr., located in San Francisco, California. For Respondent, Merrill Lynch Pierce Fenner & Smith ("Respondent"), Michael E. Olney, Esq., in-house couns

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Janv Batcha Claimant NASD Arbitration No 93-02572 Shearson Lehman Hutton, Inc. Respondent For Claimant: James E. Smith, Esq. - Las Vegas, Nevada For Respondent: John Bevilacqua, Esq.: Smith Barney Shearson, Inc., New York, New York CASE INFORMATION Statement of Claim filed: June 30, 1993 Claimant's Submission Agreement signed: June 22

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Hyman Schwartzberg Testamentary Trust . fc ~.— 93-02564 Name of Respondent Smith Barney Harris Upham & Co., Inc. REPRESENTATION For Claimant, Hyman Schwartzberg Testamentary Trust ("Schwartzberg Trust"): Melvin N. Lechner of MNL Consultants, Inc. For Respondent, Smith Barney Harris Upham & Co., Inc. ("Smith Barney")

NASD AWARD Claimants Helen Woodworth Respondents Jonathan Alan & Co, Inc. and Robert Peariman Case Number 93-02557 REPRESENTATION For Claimant, Helen Woodworth ("Woodworth"): John R. Kiefner, Esq. of Riden, Earle & Kiefner St. Petersburg, Florida. For Respondent, Jonathan Alan & Co., Inc. ("Jonathan Alan"): Mitchel Feinglas of Jonathan Alan, Bedford, New York. Respondent, Robert Peariman ("Peariman") was pro se. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Walter and Shirley Nadle 93-02550 Name of Respondents Pacific Brokerage Services, Inc. Security Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 28, 1993, Claimants Walter and Shirley Nadle, who were represented by Michael B. Rappel, Esq., Tamarac, Flo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants vs. Name of Resondents For Claimant: For Respondents: REPRESENTATION . / NASD No. 93 - (7A CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed: < UMM$- Statement of Answer filed by Respondents on: Respondents' Submission Agreements signed on: HEARING TNFOPMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joan C. Conrad and Richard C. Rompala 93-02547 Name of Respondents Dean Witter Reynolds, Inc. Robert Brennan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 29, 1993, Claimants Joan C. Conrad and Richard C. Rompala, who appeared Pro Se, alleged that Respondents Dean Witter Re