N.A.S.D. AWARD NATIONAL ASSOCTATTON OF SFCIJRTTTKS DRAT FRS IMP. In the matter of the Arbitration Between Name of Claimant Mark C. Meter NASD Arbitration #92-00669 vs. Name of Respondent Carlton Fleming REPRESETSJTATTON Claimant was represented by M. Nelson Segel, Esq., Las Vegas, Nevada Respondent represented himself. CASF INFORMATTON The Statement of Claim was filed with the NASD on February 24, 1992. Claimant's submission agreem

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between O \ \Q Name of Claimants Mervin and Catherine Jones 95-01448 Name of Respondents Marsh Block & Co., Inc. Kevin Mahon REPRESENTATION Claimants Mervin and Catherine Jones ("Claimants") were represented by Angela T. Jones, Esq., Harrisburg, PA. Respondents Marsh Block Co., Inc. ("Marsh Block") and Kevin M. Mahon ("Mahon") w

NASD Arbitration No. 92-00633 _ N.A S n AWARD NATTONAL ASSOCTATTON OF SECURITTF..S DEALERS. INC. In the matter of the Arbitration Between Name nf riaimantrs') Dean witter Reynolds, Inc. Name nf Reapondpntf Darwin Hostelley REPRESENTATION For Claiinant: Jay Cutler, Esq., Dean Witter Reynolds, Inc., San Francisco, Califomia For Respondent: Darwin Hostelley, Honolulu, Hawaii CASE TNPQRMATION Statement of Claim filed: February 19, 1992

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven J. Margolis 95-01507 Name of Respondents Investors Associates, Inc. Philip R. Gratz REPRESENTATION For Claimant, Steven J. Margolis ("Margolis"), Thomas S. McNamara, Esq. of the law finn Indik & McNamara, located in Philadelphia, Pennsylvania. For Respondent, Investors Associates, Inc. ("Investors Associates"), Lawrenc

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bear Steams & Company. Inc. 92-00595 Name of Respondent Robert J. Robinson REPRESENTATION For Claimant Bear Steams & Company ("Claimant"): Jamie C. Rosenberg, a sole practitioner. For Respondent Robert J. Robinson ("Robinson"): Mr. Robinson was not represented by counsel, nor did he appear at the hearing. CASE INFORMATION Sta

Arbitration & Mediation Sationul Associrttiim ot" Securiues Dealers. Inc. • NASD Financial Centei * 33 Whitehall Sued • New York. NY 10004 * Fax 212-853-4429 Wrtslii[ig[on DC Satellite otTice at; 1735 K Street. NW - lOtli Floor • Wrtshinslon. DC 20006 • Fax 202-728-b952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mei-Juan Gao & Jin-Quan Chen 95-01640 Name of Respondent Anthon

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Name of Claimant Leroy C. Lucas and Name of Respondents Shearson Lehman Brothers, Inc. Chester D. Lautenbach David Williams NASD Case Number: 92-0120 1 < '^^NationaJ Association of Secunties Dealers, Inc. All Rights R.^senec TTON OF PARTIES Claimant Leroy C. Lucas ("Claimanf) was represented by Bruce M. Bieneman, Esq. of Cholett

NASD Arbitration No. 92-011:51 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SF.rTJRlTTES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Leo Rovin, Individually and as Trustee Name of Respondent(s) Shearson Lehman Brothers, Inc. Gregory C. Thompson REPRESENTATION For Claimant: Leo Rovin, Costa Mesa, Califomia For Respondents: Gregory E. Copeland, Esq., Keesal, Young & Logan, Long Beach, Califomia CASE INFORMATION

N.A.S.D. .WV.AJID NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant N. Chris Pratico 92-01116 Name of Respondents Hopper Soliday and Co.,Inc. W.H. Newbold's & Sons Co.. Inc. REPRESENTATION For Claimant N. Chris Pratico ("Claimant"): Lee D. Rockafellow. Esq. of the law firm of Rockafellow and Hoffman. For Respondents Hopper Soliday and Co.. Inc. and W.H. Newbold's & Sons Co.. Inc.: David

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Darly D. Joseph vs. Name of Respondent Toluca Pacific Securities Corp. Award No. 95-01711 ® National Association Q\ Securities Dealr- —- AH Rights Reserved REPRESENTATION For Claimant, Darly D. Joseph ("Claimant"), appeared pro se, and resides in Medford, Massachusetts. Respondent, Toluca Pacific Securities, Corp. ("Respondent") did not appe