N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of tiie Arbitration Between Name of Claimants Marilee Bishop and Joseph K. Bishop, JTWROS V. Name of Respondents Merrill Lynch and Erik Luchs NASD Arbiti^ation No. 94-03149 For Claimant: For Respondem: REPRESENTATION Robert A. Uhl, Esq. AidikofF&Kesluk Los Angeles, California Frederick A. Rafeedie Jones, Bell, Simpson & Abbott Los Ange

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Staten Island Investors Club (Claimant) v. Northeast Securities, Inc. and Al Pette (Respondents and Third-Party Claimants) v. Bonnie Shild, Brian and Linda Reynolds, Carol Ann Chiusano, Carrie Datello, Max Goldberg, Howard Shild, Nicole Datello, and Teresa Masucchi (Third-Party Respondents) Case Number: 04-06430 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Me

N,A.S.D. AWARD NA-nONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lantb, Inc. 94-02808 Accutrade Co. CASE SUMMARY In a claim filed with tbe National Association of Securities Dealers, Inc. on July 19, 1994, Claimant Lantb, Inc. through its representative, George Cheekier, alleged that Respondent Accutrade Co. made a misrepresentation and erroneously executed an order. Claimant further alleged that on March 30, 1994

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kennedi Frank Falcone Award No. vs. 94-02792 Name of Respondent PaineWebber, Inc. NATION Gaimant, K^edi Frank Falcone ("Claimant"), represented himself at the hearing. For Respondent, PaineWebber, Inc., ("Respondent"), Elizabedi M. McCarron, Esq., from die firm of Choate, Hall & Stewan. located in Boston, Massachusetts. C

N.A.S,D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Carl and Corinne Berionan Name of Respondents Gary Goldberg & Co., Inc. Gary M. Goldbei:g 94-02748 REPRESENTA-nON For Claimants: Jeff Cahn of Investors Arbitration Consultants, Inc., Boca Raton, Florida For Respondents: Vincent R. Coffey, Esq. of the law ftcm of Deutsch & Frey, L.L.P., New York, N.Y. CAJSE INFORMATION Statement of Claim f

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbiti-ation Between Theodore Grassi and NASD Case Number 94-02760 The Pmdential Insurance Company of America REPRESENTATTON f}T( r^^W^ Claimant, Theodore Grassi was represented by Ralph Simon, Esq., Sole Practitioner, located in Tulsa, Oklahoma. Respondent, Pmdential Insurance Company of America was represented by Timothy Carney, Esq. of Gable & Gotwals located in Tu

AWARD NASD REGULATION, INC. In die Matter of die Arbitration Between Name of ClAlm^nt Nicholas Shalhoub Case No. 94-03224 Nam^ pf Re.spnp{^^.:prs Securities Settlement Corporation Josephdial Lyon & Ross Inc. Robert A. Calestlno JJC Securities Company, Inc REPRESENTATION rlSt'TS- Nicolas Shalhoub ('•Claimant"). Christopher D. Healey, Esq. from die law firm of Lynch, Costello & Fine, located m Warwick, Rhode Island. York^ New YoJ

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Randall S. Preissig, the M & S X-Ray Associates Profit Sharing Plan & Trust, Patricia P. Collisson, Custodian, the R. Stephen Preissig Tmst and Randall S. Preissig, Jr. and Name of Respondent Tradex Brokerage Services, Inc. Randall S. Preissig, the M & S X-Ray Associates Profit Sharing Plan & Tmst, Patricia P. Collisson, Custodian

STIPULATED ARBITRATION AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Hamilton Investments, Inc. ider Thomas Terry Bums; Donna Bums 94-03761 ^ ^, . REPRESENTATTON For Clamiant: Stephen P. Bedell, Esq. Gardner, Carton & Douglas 321 N. Clark Stteet Suite 3400 Chicago, Illmois 60610-4795 For Respondent: N/A CASE INFORMATlfnv Statement of Claim filed: September 14, 199

K.A.S.D. AHARD MATZONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ' Name of Claimant Mary Kaxgaxet Otis 94-03659 Name of Reapontaenta Smith Barney Shearson, Inc. Carole Lynn Franks S. Paul Powers, II RBPRBSBMTMIOW Claimant Mary Margaret Otis ("Claimant") appeared pro se For Respondents Smith Barney Shearson, Inc. ("Smith Barney"), Carole Lynn Franks ("Franks") and S. Paul Powers, II ("Powers")