N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Antoni J. Augustyn Emiha Z. Augustyn Mark Augustyn 94-0 1679 Name of Respondents Robert Todd Financial Corporation Gilford Securities Inc. Thomas Holeva Silver. Gray & Co., Inc. REPRESENTATION For Claimants appeared Christopher Lagano, Esq., of the law firm Stem & Miller, located in Stamford, Connecticut. For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS h the Matter of the Arbitration Between Name of Claimant Jack Taub Case No. 94-01396 P Name of Respondent Olde Discount Corporation REPRESENTATION 1..L.M.I—l-WPM—I III • .1 For Claimant, Jack Taub C'Taub"): Howard A. Tescher, Esq. of Kipnis Tescher Lippman Valinsky & Kain, Rxt Lauderdale, Florida. For Respondent, Olde Discount Corporation ("Olde"): Ina N. Otto, Esq. of Olde Disc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimants Anthony Marchese V ® National Association of Securities Dealers. Inc. AU Rights ReseiA'ed NASD Arbitration No 94-01349 Name of Respondents Prudential Insurance Company of America and James Dinges REPRESENTATION For Claimant: For Respondent: Malcolm S. McNeil, Esq. McNeil & Coyle Los Angeles, Cal

H' y N.A.S.D. DECISION NATTONAL ASSOCTATTON OF SKCURTTTES DEALERS. INC. In the matter of the Arbitration Bet\/een Namg of ClaimantCs) Jewel L. Dohan V. Name of Respondent's^ Dean Witter Reynolds, Inc. Stephen Davis NASD Arbitration No. 93-01597 REPRESENTATION For Claimant: For Respondents: Michael Huberman, Greenbaum & Ferentz, Newport Beach, California Timm A. VerDuin, Esq. Dean Wiuer Reynolds, Inc., San Fr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Suresh Munshani 94-01332 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith Inc. © National Association of Securities Dealers, Inc, All Rights Reserved REPRESENTATION For claimant Suresh Munshani ("claimant") appeared Mark J. Astarita, Esq., of the law firm of Gusrae, Kaplan & Bruno, located in New York, New York.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard P. Martucci Case No:93-01108 Names of Respondents Corporate Securities Group, Inc., and Tod Lotz REPRESENTATION For Claimant, Richard Martucci("Martucci"): Albert A. Rapoport, Esq. of Boca Raton, Florida. For Respondents, Corporate Securities Group, Inc. ("CSG") and Tod Lotz ("Lotz"): Gregory Tendrich, Esq. of Cor

JUL-07-97 ]S.37 FROM-- ID PAGH 2/IB N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiinairt(s) Marvin & Trudee Smith Ernest and Peixy Smith 94-01213 Name of Respondent(s) Shearson Lehman Brothers, Inc. David Harris REPRESENTATION For Claimants Marvin, Trudee, Einest and Perry Smith ("the Smiths"): Marvin Smith, pro se. For Respondents Shearson Lehman Brothers, In

N.A.S.D. AWARD H\ 2-05D NATIONAL ASSOCIATION OF SECURITIES DBALSRS In the Matter Of the Arbitration Between Name of Claimants Boyd H. Anderson, Jr. as Successor TTBE and Lawrence Larche, Executor, Frederick A. He i tman E s tate Case No. 92-03466 and 92-04030 Consolidated Name of Respondents Dean Witter Reynolds, Inc. Smith Barney Harris Upham & Co., Inc Earl Miller RKVltSSSNTATION For Claimants, Boyd H. Anderson, Jr. as Succes

Award NASD Dispute Resolution, Inc. ORIGINAL In the Matter of the Arbitration Between: Prudential Securities, Inc., Claimant v. Ron Pearlman, Respondent Ron Pearlman, Counterclaimant v. Prudential Securities, Inc., Counter-Respondent Ron Pearlman, Third-party Claimant v. Alan S. Durlester and Howard J. Durlester, Third-party Respondents Case Number: 00-02910 Hearing Site:Los Angeles, California REPRESENTATION OF PARTIES For Claimant Prudential S

*\ward NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Michael Newman v. Morgan Stanley Dean Witter, Inc. Case No. 00-00315 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Claimant: Ronald Shindler, Esq. Fowler, White, Burnett, Hurley, Banick & Strickroot Miami, Florida For Respondent: Joseph C. Coates, III, Esq. Greenberg Traurig, P.A. West Palm Beach, Florida CASE INFORMATION Statement of