AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantfs) Jeanne Sorensen Name of Respondentf s) Smith Barney Inc. David Johnston Paul R. Johnston AND Name of Claimantfs) The Estate of WiUiam H. Sorensen Lenora Sorensen Name of Respondentf s) Smith Barney Inc. David Johnston Paul R. Johnston Arbitration No. 94-04484/94-04579 consolidated cases For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Wayne Mosko Award No. vs. 93-05029 Name (^f 'Respondents ji^J -' s • :; A;G; Edwards «&, Sons, Inc. Susan McQuade Daniel Hanley ill iam Hyland REPRESENTATION For Claimant, Wayne Mosko ("Claimant"), Joseph J. Canxuchael, Esq. attomey-at-law located in Salem, Massachusetts. For Respondents, A.G. Edwards & Sons, Inc.

h N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eugene S. Tuma Name of Respondents Chelsea Street Securities, Inc. Gary S. Williky 93-04893 Name of Third Partv Claimant © Nationai Association Securities Dealers, Inc. Gary S. Williky AJi Rights Reserved Name of Third Partv Respondent Daniel Oreskovich REPRESENTATION For Claimant, Eugene S. Tuma, ap

NATIONAL ASSOCIATION OF SECURITIES DEALERS QW^^XQ^^ AWARD ' In the matter of the Arbitration Between William W. Clack, Trustee of the William and Donna Clack Trust aka The Clack Family Trust; L. Wayne Oliver & Carol Oliver Claimants NASD Arbitration No. 93-04881 V. A.G. Edwards & Sons, Inc. James Richards William Toner Jeff McCoy Respondents RFPRFSFNTATTON For Claimants: Jeff Ferentz, Esq., and David Liebrader, Esq., Greenba

NASD REGULATION. INC. AWARD In the Matter of the Arbitration Between Name of Claimant Sherwin M. Goldman Productions, Inc. 93-04866 Name of Respondent Dean Witter Reynolds Inc. REPRESENTATION For Claimant Sherwin M. Goldman Productions. Inc. ("Claimant") appeared Julie N. Samuels. Esq. of Sherwin M. Goldman Productions, Inc. located in New York, New York. For Respondent Dean Witter Reynolds, Inc. ("Respondent") appeared Edward W. Larkin, Esq..

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS h the Matter of the Arbitration Between Name of Claimant Donaldson Lufkin & Jenrette Securities m 94-0448 1 Name of Respondents Sandy John Masselli, Jr. Fairway Capital REPRESENTATION For claimant Donaldson, Lufkin & Jenrette Securities Corporation ("claimant") appeared David J. Campbell, Esq., Compliance Counsel and Assistant Vice President of Donaldson, Lufkin Sc Jenrette Secu

03-12-96 02:20PM FROM NASD A.R?'""(AT:ON TO gi5i 0436''4!D 93-04833 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claiipanta Dr. Vijay aud Vecra Jain Name of Restxindent Prudential Securities, Inc. REPRESENTATION For Claimant: Ralph A. Gant, Esq., a sole practioner. New York. NY For Respondent: John R. Loftus of the law firm of Kccsal, Young & Logan, P.C. Long Beach, CA. CASE INF

N.A.S.D. AWARD .NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimant MerriK Lynch Pierce Fenner & Smith, Inc. 94-04474 Name of Resoondent Roy Levine REPRESENTATION For Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. appeared Joseph M. Cohen, Esq, of the law firm of Orrick, Herrington & Sutcliffe of New York City, New York. For Respondent Roy Levine appeared Herbert M. Deutsch, Esq. of the la

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS 1/ In the Matter of the Arbitration Between H. Carhon Smith and Catherine Smith Case No. 93-04771 Donald H. Gage REPRESENTATION For Claimants, H. Carlton Smith and Catherine Smith ("the Smiths"): Pro Se. For Respondent, Donald H. Gage ("Gage"): Jeffrey J. Davis, Esq. of Moore & Van Allen, Charlotte, NC. CASE INFORMATION Statement of Claim filed: November 11, 1993. Claimants' Submiss

1 i ^ L/u v.^ I i •» I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claim antes') First Montauk Securities Corporation Name of ResTOndentrs) vs/iTHamD. Coogle Jack Edward Perry Michael O'Brien 93-04634 REPRESENTATION For Claimant First Montauk Securities Corporation: Robert Rabinowitz, Esq., in-house couns< !l at First Montauk Securities Corporation. The Respondents Will