N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibhration Between Janet K. and Marie Andrews 93-03984 MerriU Lynch, Pierce, Fenner & Smith, Inc. In a claim filed with the National Association of Securities Dealers, Inc. on October 1, 1993 CHaimants Janet K. and Mark Andrews ("Clahnants"), through their representative,'Adam M. Cohen, Esq., of Feltman, Karesh, Major & Fait»nan, in New York, N.Y., aU^ed tiiat Respondent Me

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Inutile Matter of the Arbitration Between Beamice M. Weiss 93-03963 Name of Respondent MerriU Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securitfes Dealers, Inc. on S^tember 30,1993 Claimant Bernice M. Wdss ("Claimant"), through her representative, Adam M. Cohen, Esq., of Fettman, Karesh, Major & Faihman, m New York, N.Y., aUeged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration B^een Name of Claimaiit ReidKhig 93-03762 Name of Respondents Wayne B. Johnson Robert G. Malone Malone 8c Associates, Inc. REPRESENTATTON Claimant Reid King ("Claimant") rqjrcsented hunsetf. Respondents Robert G. Malone ("Malone") and Malone & Associates, Inc. ("Malone & Associates") were represented by Dennis Brovarone, Attorney at Law, Denv

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration B^ween Name of Claimantfs) McLaughlin,Piven,Vogel Securities. Inc. 93-03503 Name of Respondent's^ Nile J. Steigerwald Dennis M. Hellwig For Claimant McLaugWin, Riven, Vogel Securities, Inc. ("McLaughlin"): Christopher Coss,.B8q< aiid MIdiael J, Floituoato, Bsq. of tiie law firm of Rubin & Associates. For Respondents Nile J. Steigerwald and Dennis M.

REPORT OF ARBITRATOR UkTXOmL MSOQXATtOIX OF SBOORITXES DEALSR6 zn the Hatter of the Arbitration Between 93-03471 aikZEL J., T.C. OZCKZKSOH & (SWfiNDOLltll BEL Claimants vs. mtjnmviKL sBctmzTZBs, XHC. X8VZM MOBI^ON Respondents GONCLUflZC3N8 OP PACT The Arbitrator has reviewed the allegations of the parties and the documents attaohed to the respondents' answer (no documents were attached |:o the claimants' petition). Th«» acr.uu4.* »^lat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Bc^een Hise Goldman MeUer Case No, 93-02854 Name of Respondents FideUty Brokerage Services, Inc. For Claimant, BUse Goklman Meller ("MeU»"): PhiUp J. Snydeibura, Esq. and ^^Uiam M. Rishoi, Esq. of Snydralmm, Rishoi & Swann of Winter Park, Florida. For Respondent, FideUty Brokerage Services, Inc. ("FideUty"): Angela M. Gottsche, Bsq. of Kutak Rock, Atianta, G

/ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Axbittation Between Joyce A. Marcus Case No. 93-02734 Shearran Hjehman Blotters, Inc. Janice Kl^ REPRESENTATION FOT Claimant, Joyce A. Marcus ("Marcais"); RnsseU L. Forkey, Esq. of Fort Lauderdale Florida. For Respondents* Shearson Lehman Brothers, Inc. ("SLB") and Janice Klein ("Klein"): John P. BevUacqua, Bsq. of Smith Bamey, Inc. of New Yoik, NY. CASE I

NASD Arbitration No. 93>02546 NATIONAL ASSQCIATIQN.QE SECTRITIS8 DEftLERSt INC. In the matter of the Arbitration Between Name of Claimant(si Idalia Borchert Trust tTAD 11/14/88, by and through its Successor Trustees, Connie Robbins and James Robbins Name of Respondent(al Dean Witter Reynolds Inc. BBPRiB8ftw,'A'lLTIC8I For Claimant: A. Kendall Mood, Esq., Hinchy Witte Wood Anderson & Hodges, San Diego, California For Respondent: Michell

N.A.S.D. Stipulated AWARD NATIONAL ASSOOAHON OF SECURITIES DEALERS, INC. In die Matter of die AriMtration Between Kenny Berman 93-02245 and ^ft^ft nf Re8i^n«|gr'. CoumnrClaimants. Thint-Panv CtetaM Citicoip Invesnaeat Services, Steven Sershen, and James PodoWnski ^j^^ «f Thfad-Partv RespQiMtett P^r Jaf&ay, Inc. Odmaat, Kemiy B«maa and Thini-Party Respondem, «P«jf^y« J^. were repnaemed by Michael J. McAUisttr, Esq. of Lane & Mitteadraf, New Yor

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitiation Between CATHERINE VEROA, VICTORL\ OOORCHENKO and ANTHONY OOORCHENKO, Claimants, V. NASD No. 93-2219 PRUDENTIAL-BACHE SECURITIES, n/k/a PRUDENTIAL SECURITIES, INC., and RICHARD HERNANDEZ, an individual and dba HERCON SECURITIES, Respondents. Representation For Clamiant: Michael Bertz, Esq., Los Angeles, CA For Re^ondem Prudential Securities: Terry Ross