AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Mack and Nancy T. LaFevers vs. Name of Resnondents Fahnestock & Co., Inc. Robert Traip Call Case No. 94-03528 (D National Association of Securities Dead * '-^c. 100/; AU Rights Reserved REPRESENTATION For Claimants, Mack and Nancy T. LaFevers ("Claimants"), Grover S. Parnell, Esq. from the law firm of Davis, Malm & D'Agostine, located

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Silberstein Trust dated October, 1989, Nathan & Clara Silberstein, Trustees vs. 94-03404 Name of Respondent M.L.Stem & Co. Jnc. CASE SUMMARY In a claim i3ed with the National Association of Securities Dealers, Inc. on August 24, 1994, Claimant The Silberstein Trust, through its representative, Nathan Silberstein alleged that

N.A.SD. AWARD NATIONAT. ASSOCIATION OF SECURITI ESnFAT FR< ; TNC. In the matter of the Arbitrat! on Between Name of Claimants Ji m Schueneman and JH S Contractors, I nc. Name of Re.spondent.s Biltmore Securities, Inc. Louis Diffrusscio Steve Ki ront John Clancy Rich Levitov NASD Arbitration No. 94-03264 For Claimants: For Respondents: REPRESENTATION H. Thomas Fehn, Esq. Fields, Fehn & Sherwin, LosAngela, California

N A.S.n. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Donald L. Shifrin NASD Arbitration No.94-03254 Name of Respondent Piper J affray, Lie. REPRESENTATION For Claimant: Gary J. Lekas, Esq., Portland, Oregon For Respondent: Barnes H. Ellis, Esq., Stoel Rives, Portland, Oregon CASE INFORMATION Statement of Claim filed: August 12, 1994 First Amended Statement of Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward Lipson Name of Respondents Smith Bamey Shearson, Inc. Scot Alexander Kagan 94-03029 Consolidated WUh In the Matter of the Arbitration Between Name of Claimant & National Association of Securities Deafers, Inc. Alf Rights Reserved Ronald Lipson Name of Respondents Smith Bamey Shearson, Inc. Scot

NASD REGULATION, INC. , AWARD In the Matter of the Arbitration Between Names of Claimants Yu Min Wang and Yu Ling Wang vs. . . Case No. Names of Respondents Perpetual Securities, Inc. David Guo Xin REPRESENTATION For Claimants Yu Min Wang and Yu Ling Wang ("Claimants") appeared Gregory S. Goodman, Esq., of the law firm of Goodman & Goodman, located in Mount Sinai, New York. For Respondents Perpetual Securities, Inc. ("Perpetual") and Dav

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Frederick A. Signore and Linda A.Signore, Elvira Signore, Kevin A. Signore and Virgil Signore 94-01093 94-01959 Name of Resuondents 94-02813 94-02828 Shearson Lehman Brothers, Inc. Andre Yoshua Weiser Kenneth Donn Name of Third Party Resuondent Cresenzo Signore REPRESENTATION Claimants Frederick A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anne E. Siegrist vs. 94-02685 Name of Respondents James Allan James Hunt Allan, Haugner & Hunt Capital Financial Services, Inc. Geoffrey Legler CASE SUMMARY In a claim filed with the National Association of Securities Deaiers, Inc. on July 12, 1994 Claimant Anne E. Siegrist, who appeared Pro Se, alleged that Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ruth Roosevelt Name of Respondent Prudential Securities, Inc. 94-02659 National Association of Securities Dealers. Inc, All Rights Resen ed REPRESENTATION For claimant Ruth Roosevelt ("claimant") appeared Nathan M. Ferst, Esq., New York, New York. For respondent Prudential Securities, Inc. appeared Marvin M. Goldstein

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank V. Vaccaro 94-02584 Names of Respondents ^ean Witter Reynolds, Inc. Bank One, Columbus, N.A. Eddie Beverly Citizens and Southern National Bank REPRESENTATION For estate of Claimant Frank V. Vaccaro ("Vaccaro"): William J. Schifino, Esq. of Williams Reed Weinstein Schifino & Mangione P.A., Tampa, Florida. For Res