r '7- N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Julia & Joseph Zerendow, JTWROS 93-04127 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 6, 1993, Claimants Julia and Joseph Zerendow, JTWROS ("Claimants"), through their representative, Jill Levi, Esq., of

N.A.S.D. AWARD NATIONAL ASSOCTATTON OF SECURTTTES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant NASD Arbitration Floyd Norgaard No. 93-04125 Name of Respondents Prudential Securities, Inc. D. Kevin Burggraaf f REPRESENTATION For Claimant: Donald B. McNelley, Esq. - Schlecht, Shevlin & Shoenberger, Palm Springs, Califomia For Respondents: Janet Simmons, Esq. - Keesal, Young & Logan, Long Beach, Califomia CASE INFOR

N.A.S.D. AWARD NATIONAT. ASSOCIATTON OF SF.CURTTTF..S DF.AT F.RS TNC In the matter of the Arbitra- on Between Namg pf Claimants Iso Tabata 6 fiHrttooal Association of Securities Dealers. TiK. - - 1995 All Rights Reserved NASD Arbitration No. 93-04061 Name of Respondents John Heil Shearson Lehman Brothers, Inc. Prudential Securities, Inc. REPRESENTATION Charles J. Jamison, Esq. - Solana Beach, California shearson Lehman

FEB. 1.1999 ll:20flM NO.Z95 P.9 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Olai' Kenneth M. Zablocki 98-00505 Names of Respondents Raymond, James & Associates, Inc., Gregg Nelson and James A, Hooks REPRESENTATION Claimant Kenned M. Zablocki ("Claimant") appeared pro se. For Respondents Raymond, James & Associates, Inc. ("Raymond James"), Gregg Nelson ("Nelson") and James A. Hooks ("Hooks"); James D.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul J. ScuTto 93-04050 Name of ResTiondents Shearson Lehman Hutton, Inc. REPRESENTATION For Claimant, Paul J. Scurto ("Scurto") of Miami, Florida: EIQ se2. For Respondent, Shearson Lehman Huttonj Inc. ("Shearson"): Lonnie Brown Zangrillo of Boose, Casey, Cikhn, West Palm Beach, Florida. CASE INTORMATIQN Statement of Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between "'sVcTrTnrs^eaTersj^ Name of Claimant © National Associatiun o* All Rights Reserved Harvey Goldberg 94-0392 1 Name of Respondents Olde Discount Corporation Seth Rosenberg REPRESENTATION For Claimant, Harvey Goldberg ("Goldberg"): Russell L. Forkey, Esq., Fort Lauder&Jr:,- Florida. For Respondent, Olde Discount Corporation ("Olde"): Bra

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sebastian Bentivegna 93-04022 Name of Respondent . , " / ' Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, inc. on October 4, 1993, Claimant Sebastian Bentivegna ("Claimanf), through his representative, Adam M. Cohen, Esq., of Feltman, Karesh, Major &

NASD FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Marcus Dickson Elinora Dickson and Name of Respondents Morgan Keegan & Company, Inc. Hugo Urrea NASD Case Number: 94-03852 REPRESENTATION OF PARTIES Claimants, Marcus Dickson and Elinora Dickson were represented by Ernest E. Barrow, II, Esq. of Grant & Barrow, Gretna, Louisiana. Mr. Barrow withdrew as counsel on

^(61 N.A.S.D. MODIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of n;^imanrs Carmella and George H. Rosario Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. G KatkmBl Association of Securities Dealeis. lt>c. 1995 All Rights Reserved 93-03940 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 29, 1993 Claimants C

N.A.S.D.AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Raymond E. and Alice M. Berlin 94-03827 Name of Respondents Smith Barney Shearson, Inc. Donald C. Dybeck CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 19,1994, Claimants Raymond E. and Alice M. Berlin, who appeared Pro Se, alleged that Respondents Smith Barney, Inc. C'SB"