AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Joyce Thibodeaux Claimant, No. 95-02265 The Harriman Group, Inc., Scott Follett, and William Nunziato Respondents. REPRESENTATION OF PARTIES Claimant Joyce Thibodeaux ("Claimant") was represented by Robert B. Van Grover, Esq. of Morris & McVeigh located in New York, New York. Respondent The Harriman Group, Inc. ("The Harriman Group") and R

4 N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of die Arbitration Between Name of Claimantr«>l John A. Young John Young, as custodian for Alexis K. John Young, as custodian for Ashley Name of Re.spondent(s) Merrill Lynch Pierce Fenner & Smitii Inc 95-02259 REPRESENTATTmv Claimant John A. Young ("Claimant") appeared pro se. For Respondent Merrill. Lynch Pierce Fenner & Smith Inc. ("Respondent"), appeared John J

1 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTriES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-02244 Name of Respondent William Gibson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 9, 1995, Claunant PaineWebber, Inc. ("PameWebber"), through its representative and m-house counsel, Nicholas P. Kapur, Esq., alleged that on May 5, 1988, Respondent Will

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Smith Bamey, Inc. Steven Lewis Sellman Case Number 94- 05118 (consolidated with 95-00193. 95- 00779, 94-05373 and 95-02297) Name of Respondei)| Halpert and Company, Inc. gEPRRSTCNTATfON For Claimants Smith Bamey, Inc., Steven Sellman, Ronaid Triefler, Michaei Lieberman, Raymond Sanunak, Sean Davis and Alan Gud

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04112 Raymond McPherson. claimant vs. Smith Barney, Inc. and Morgan Webber, respondents. ATTORNEYS: For Claimant appeared Bruce R. Safran, Esq., Tarzana, CA. For Respondents appeared in-house counsel, Ann Parry, Esq.. New York, NY. DATE FILED: August 20, 1997. CASE SUMMARY: Claimant alleged that respondents failed to execute his orders to sell Read Rite Co

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant- Kay V. Kuehner-Herbert v. Arbitration No. 97-04111 Name of Respondent Thomas Swartwood and Theodore Swartwood REPRESENTATION For Claimant: Mark T. Bennett, Esq. Merrill, Schultz & Wolds, LTD San Diego, California For Respondent: Barbara E. Bennett Dickinson & Company Des Moines, Iowa CASE INFORMATION Statement of Claim filed: August

N.A.SJD. AWARD NATIONAL ASSOCTATION OP SECURTTTP.S DRAT.RRS TVr In the matter of the Aibitration Between Namenfrtitfananf Donald Weimerstiom V. Name of Respondent Stiatton Oakmont, Inc. NASD Aibitration No. 95-02238 BEEBEI£ rATION Fbr Claimant: For Respraident: Donald Weonerstram, Pro Se Simi Valley, California Irving M. Einhom, Esq. Einhom & Edgerton IJOS Angeles, California CASRlNgnHMATION Statement of Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between vaine of Claimant PaineWebber, Inc. 95-02226 Name of Respondent Alan Glaubinger REPRESENTATION For Claimant PaineWebber, Inc. appeared David L. Pardue, Esq., Hunton & Williams, Atlanta, Georgia. For Respondent Alan Glaubinger ("Glaubinger") appeared Richard M. Sullivan, Esq., Conliffe, Sandmann & Sullivan, Louisville, Kentucky. CASE INFOR

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Claimants, Retha Owens, Barbara Towety, Edmund Cross, Evelyn Cross, Hoyt Wilkerson, and Helen Wilkerson and No. 95-02225 Respondents, Thomas James Associates, Inc. n/k/a/ H.J. Meyers & Co., Inc. and Charles Slabisak REPRESENTATION OF PARTIES Retha Owens, Barbara Towrey, Edmund Cross, Evelyn Cross, Hoyt Wilkerson, and Helen Wilkerson ("Q

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roger W. Haag 95-02212 Name of Respondents Emmett A. Larkin Company, Inc. Flemming, Anderson, Cohen & Lee CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 9, 1995, Claimant Robert W. Haag, who appeared Pro Se, alleged that Respondents Emmett A. Larkin Company, Inc. ("Larkin") and