N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ^ in In the Matter of the Arbitration Between Name of Claimant © National Associauon of Securities Dealers, Inc. Peter Sayet All Rights Reserved 94-02508 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc REPRESEPfTATTON For Claimant, Peter Sayet ("Sayet"): Howard Green, Esq., of Howard Green Associates, Miami, Florida. For Respondent, Merrill Lynch Pierce Fenner

% N.A.S.D. AWARD NATIONAL ASSOCTATTON OF SEriTRTTTES DEALERS, TNC In the matter of the Arbitration Between Name nf 01 aiinant (s) Elden Farm Ivan and Lellah Harris Dean Marler and Bernice Marler John and Gwendolyn Wilson Edward Kobe and Norma Kobe Richard and Janice Moon Charles and Beatrice Baldridge Bill and Mary Hart Sharon Kent Wes L. Clark Bernadeen Dowd and Barbara Mahoney Denzil and Traci Rogers Paul and Susan Pa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Isamadline Robinson and Lennox Cooper V. Case No. 94-02374 Name of Respondent Jeffrey B. Schneider REPRESENTATION Claimant Isamadline Robinson appeard pro se. Claimant Lennox Cooper did not appear at the hearing. Respondent, Jeffrey B. Schneider appeared pro se. CASE INFORMATION Statement of Claim filed: June 15, 199

N.A.S.D. AWARD NATIONAL ASSOCLATICN OF SECURITIES DEALERS [n fhe ^latter of the Arbitration Between Name of Claimant TaJmadge F. Dennis 94-02363 Gruntal & Co., Inc. LyJe Rosenbaum CASE SUMMARY In a ciaim filed with the National Association of Securities Dealers, Inc. on June 21, 1994, Claimant Talmadge F. Dennis ("Claimant"), who appeared Pro Se, alleged that he authorized Respondent Lyle Rosenbaum ("Rosenbaum"), an employee of Respondent Grun

N.A.S.D. AWARD / I / NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sushil K. and Alicja U. Gupta et al. Sverge R. Gupta Rijks S. Gupta Case vs. #93-02553 Name of Respondents Kidder, Peabody & Co., Incorporated Maxwell Dickerman Bardeen Scott Edward Price Christopher Sherman Peter Nastri, Jr. REPRESENTATION Claimants, Sushil K. Gupta, Alicja U. Gupta, Sverge R. Gupta an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant First Penn Capital Corporation Case No. 94-02166 Name of Respondents Douglas James Securities, Inc. Craig D. James REPRESENTATION For Claimant, First Penn Capital Coiporation ("First Penn"): William R. Balaban, Esq., of Balaban & Balaban, Harrisburg, PA. For Respondents, Douglas James Securities, Inc. ("DJS") and Craig D. Jam

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Alan Weingarten 98-00497 Name of Respondents Aaron S. Morris Eric B. Mirman Bishop Allen, Inc. Elie Mellul REPRESENTATION For Claimant Alan Weingarten ("Claimant") appeared Jack Grossman, Esq. of the firm Mallilo & Grossman located in Flushing, New York. Respondent Aaron S. Morris ("Morris") appeared pro se. Respondent Eric B. Mirman ("Mirma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In t:he Matter of the Arbitration Between Name of Claimant(s) Paul DeNisco 93-02455 Name of Respondent(s) Merrill Lynch Pierce Fenner & Smit:h Inc Robert Starbuck REPRESENTATION For Claimant Paul DeNisco ("DeNisco"): Jon W. Green, Esq. of Smith, Mullin, & Ki located in West Orange, New Jersey. For Respondent Merrill Lynch ("Merrill") and Respondent Robert Starbuck {"Starbu D. Gi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ClaimantCs'^ OLGA L. PORTER NASD Arbitration No. 93-02354 Name of Respondentt's') MERRILL LYNCH, PIERCE, FENNER & SMITH INC and LAURA KIRKHAM REPRESENTATION For Claimant: David H. S. Commins, Esq., Crosby, Heafey, Roach & May For Respondent Merrill Lynch: David J. Romanski, Esq., Judith B. Jennison, Esq., Steinhart & Falconer

a NASD Arbitration N 0.9^2037 N.A.aD. AWARD NATIONAL ASSOCIATION OF SECURITIES DF.AI.RRS. INC. nh the matter of the Arbitrat! on Between Name of Claimants Tom E. Sanchagrin Angle San chagrin Name of Respondents Kemper Securities, I nc. D -.-.- J i_ Ken Green REPRESENTATION For Claimants: Mark H. Pierce, Esq.- Olson & Pierce - San Jose, California For Respondents: A. Brad Busscher, Esq.-Kemper Securities, Inc. - Chicago, Ill