^ N.A.S.D. AWARD NATIONAL ASSOCIATTON OF SFCURTTTES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Kenneth K. Murakami NASD Arbitration No. 93-00899 Name .of .Respondent Shearson Lehman Hutton, Inc. REPRESENTATION For Claimant: Philip M. Aidikoff, Esq. - Aidikoff & Kesluk - Los Angeles, California For Respondent: Michael C. Licosati, Esq. - Keesal, Young & Logan - Long Beach, California CASE TNPQRMATION State

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Christopher R. Carson 93-00898 Name of Respondent Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1993, Claimant Christopher R. Carson, who appeared Pro Se, alleged that Respondent Fidelity Brokerage Services, Inc. failed to follow

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Franklin D. Perry 93-00894 Name of Respondents Hibbard Brown & Co., Inc. Michael J. Dayton r.ASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1993, Claimant Franklin D. Perry, who appeared Pro Se, alleged that Respondent Michael J. Dayton of Respondent Hibbard Bro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants William J. Nelson Colleen M. Nelson No. 93-00890 of Respondent Prudential Securities Incorporated REPRESENTATION OF PARTIES For Claimants : Mark E , Maddox, Esq . , of Coons & Saint , Indianapolis , Indiana . For Respondent : Peter Byer , Esq . , Vice President , Associate General Counsel, Prudential Securities Incorporated, New York, New York. CASE INFOR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Edith Bristol Number- 03-02109 g r>f fhf Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Michael Paolone Michael Rotay Hearing Site; Philadelphia, PA Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant, Edith Bristol, hereinafter referred to as "Claimant", was represented by Robert A.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Claimants Case Number: 03-02107 Ted and Shirley Berry; Daniel and Betty Gower; Amber J. Sievers; Natalie Gower; Keith and Beverly Kirk; Jerry and Mary McLain Littlejohn; Garry and Brenda Warner; Royce Garrett; Larry and Rheta Waldrop; Gene and Virginia Montgomery; Brian and Jane Evans; Edward and Pamela Rich; and Wayne and Karen Montgomery Name of the Respond

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Earthy Murphy Serleen Murphy Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Brad Dunagen Biggs Case Number: 03-02105 Hearing Site: Memphis, Tennessee Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Earthy Murphy and Serleen Murphy, hereinafter collectively refe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimfmt Case Number: 03-02104 Gail S. Cassily Name of the Respondents Hearing Site' St. Louis, Missouri A.G. Edwards & Sons, Inc. and Edward J. Costigan, Jr. NTATTTRF OTT HTSPTTTF •aa«*»aca===JEa^=ggg''^ — ^i^B^aa Customer vs. Member Firm and Associated Person P~F.PPF.gF.NT A TTfIN Lawrence Goldberg and J. Christopher Wehrle, Esq. of the law firm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Josephthal & Co., Inc., Case Number: 03-02103 Claimant, vs. Dana L. Oliver, Hearing Site: Houston, Texas Respondent. Nature of Case: Member vs. Associated Person !F.PRFq.KTATTflK OF Claimant Josephthal & Co., Inc., hereinafter referred to as "Claimant," was represented by Eric J. Shames, Esq. and Evelyn Bukchin, Esq. of Josephthal & Co., Inc: located in New; York, Ne

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-02100 Roger and Mary Candace Brush, Floyd and Sabra Adams, Robert and Sandra Bryans, Lance and Sharon Holmer, Ray Ridgley, Harold and Carolyn Sloan, and Clifford Schiller and Peggy Schiller, Michael And Rena Gower, John Paul and Shirley Jones, Kenneth and Deborah Valle, and Charles and Judy Schiller Name nf the Respondent Hearing