I / N.A.S.D. AWARD ^NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John A. and Evelyn Schick 95-01609 Name of Respondents Dean Witter Reynolds Inc. Lucille Florio CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 30, 1995, Claimants John A. and Evelyn Schick ("Claimants"), who appeared Pro Se, alleged that Respondent Dean Witter Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elizabeth Ann Johnson 95-01605 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 30, 1995, Claimant Elizabeth A, Johnson ("claimant") who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. ("Respondent") through its repres

* STIPULATED N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf riaimants Clifford and Francine Goodman Case No. vs. 95-01604 Name nf Respondents First Institutional Securities Corp. Robert Richard Khoury REPRESENTATION For Claimant, Clifford and Francine Goodman, appeared Adam H. Smith, Esq., of Chikovsky and Shapiro, P.A. located in Hollywood, Florida. For Respondent, First

NASD Arbitration No. 95-01602 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Kenneth A. Corlett Name of Respondent(a) Torrey Pines Securities Eirik A. Hjelle REPRESENTATION For Claimant: Kenneth A. Corlett, San Diego, California For Respondents: Jack Smith and Eirik A, Hjelle, Torrey Pines Securities, Solana Beach, California CASE INFORMATION Statemen

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-04089 Harvey Rooks, claimant vs. Smith Barney Shearson, respondent. ATTORNEYS: For Claimant appeared John C. Kelly, Esq. - West Palm Beach, FL. For Respondent appeared Ann Parry, Esq. - New York, NY. DATE FILED: 8/19/97 CASE SUMMARY: Claimant alleged breach of fiduciary duty, unsuitability and failure to supervise in the trading of common stock Claim D

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Robert N. Carpenter, and Mary C. Carpenter and 97-04082 Name of Respondents PNC Brokerage Corp., and BHC Securities, Inc. REPRESENTATION OF PARTIES Robert N. And Mary C. Carpenter ("Claimants") were represented by Scott P. Zoppoth, Esq., Louisville, Kentucky. PNC Brokerage Corp. ("PNC"), and BHC Se

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Cla The Option Portfolio Limited Partnership, Juan G. Velasquez, Giordano Investments, Ltd., Coco Limited, Theresa L. Velasquez, Juan C. Tan, Solita Tan Velasquez, Mark T. Timbie, and M. Lourdes Tan-Timbie Name of the Respondents Bear Steams & Co., Inc., and Valentin Manglapus Narqe of the Third -Party Respondents Teresa Fernandez T- 97-04075

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04071 Ashok and Priti Abhat, Ashok K. Abhat IRA and Priti P. Abhat IRA, claimants v. Merrill Lynch Pierce Fenner & Smith Inc, Kurds Moss, George Arakelian and Paul R. Cygal, respondents. ATTORNEYS: For claimants appeared Douglas R. Lally, Esq. Jenkintown, PA. For respondents appeared Peter Bon Viso, Esq. - New York, NY. DATE FILED: 8/18/97 CASE SUMMARY

NASD FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of tlie Arbitration Between Name of Claimant Carl R. Palazzolo and NASD Case Number: 95-01464 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Michael C. Di Leo, WilUam Lies, IV REPRESENTATION OF PARTIES Claunant, Carl R. Palaazolo was represented by Robert M. Clark, Jr., Esq. of Dallas, Texas. Respondents, Merrill Lynch, Michael C. Di Leo, and

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Paul Monka and Loren Miller, Claimants v. Cruttenden Roth. Inc., Respondent. Case Number: 97-04064 Hearing Site: Los Angeles. California REPRESENTATION OF PARTIES For Claimants: Richard Sacks Investors Recovery Service Novato, California and James J. Sullivan, Esq. Law Offices of James J. Sullivan, Esq. Novato, California For Respondent: - John R. Loftus, Esq.