N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs') Jack Spyridakis 92-00934 Shearson Lehman Brothers. Inc. REPRESENTATION For Claimant: Emiie R. Bussiere. Esq. a sole practitioner. For Respondent: Wilbur A. Glahn, Esq. of McLane. Graf. Raulerson and Middleton. CASE INFORMATION Statement of Claim filed: March 16. 1992 Claimant's Submission Agreement signed on: March 10. 19

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Thomas Arcieri Claimant CASE #92-01074 vs. ANARD Gamco Investors, Inc. Gabelli & Co., Inc. Gabelli Funds, Inc. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 25, 1992, Claimant Thomas Arcieri, who appeared Pro Se, alleged that on January 25, 1988 he was hired as a regi

PUBLIC N.A.S.D. AWaRD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clrfimanr Thomas F. Hudak 92-00962 Name of Respondents Stratton Oakmont, Inc. and Brian Anguili PRESENTATION For Claiinant Thomas F. Hudak: Michael Hooper, Esq. of Herridon, Morton, Herndon & Yaeger. For Respondents: Stratton Oakmont, Inc. and Brian Anguili: M. David Hyman, Esq. of Stratton Oakinont, Inc. CASE IN

^1 l-LC 1^ NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mericka & Co.. Inc. Name of Respondents Advest. Inc. William Johnston Name of Third-Party Respondents William Covington Richard Covington James Mericka #92-00895 REPRESENTATION For Claimant Mericka Sc. Co., Inc. ("Claimant") and Third-party Respondents William Covington ("W. Covington"), Richard Covingt

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between:' Michael J. Link, Case Number: 02-04577 Claimant, vs. First Securities USA, Inc.; JW Genesis Clearing Corp.; Fiserv Securities, Inc.; BestVest Investments, Ltd; F. Martin McDermott; Stanley Clifton Brooks; Kathleen McPherson; Janet Lynn Ross; Stephen Paul Washburn; Ted Joseph Bryson; and James William O'Connor Hearing Site: Houston, Texas Respondents. KFPftFSF

•1 h Y7 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clainiant(s) Louis Zauderer Nam e of Smith Bamey Shearson, Inc. Harvey Kohn c. Sucoff David Kabat 95-00623 © NationnJ Associaiion of Secuntie.s Dealers, Inc. All Rights Reserved REPRESENTATION For Claimant, Louis Zauderer ("claimanf), Jonathan Kord Lagemann, Esq. of New York, New York. For Respondents,

"I' PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between PaineWebber, Inc. Claiinant vs . Margaret Yeo Respondent CASE #92-00765 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1992, Claiinant, PaineWebber, Inc. through it's in-house counsel, Joseph F. Generelli, Esq., alleged that Respondent, Margaret Yeo failed to repay the Claimant for

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Scott E. and Beth A. Schoenbom 94-01844 Name of Respondents Paulson Investment Company, Inc. CASE STJMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 17, 15^94, Claimants Scott E. and Beth A. Schoenbom, who appeared Pro Se, alleged that Jeff Pieper, a broker at Respondent Paulson Investment

N.A.S.D. AWARD AND ORDER NAUONAL ASSOCIATION OF SECUKITIES DEALERS In the Matter of the Axtitratloa Between Frainklin-Loid, Inc.» Jobn B. Catfacait, Richaxd Cad Whelan, Brett Bouchy, -David Kramer, Brian Gibbons and William Michael Watkins Names of Respondents First American Bittmore Securities, Inc. andJ. Gordon NevMS 92-00558 / n f > / FEB - I m 1 claimants^ Franklin Lord, Inc, et al. were represented by H. ThCKnas Feh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Rasheed M. Khan © National Association of Securities Dealers, Inc. All Rights Reserved NASD Arbitration No.9501892 Name of Respondent Kidder, Peabody & Co., Inc. For Claimant: For Respondent: REPRESENTATION Claimant appeared in pro per. William H. Phelps, Esq., Kidder, Peabody & Co., Los Angeles, Califor