N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of die Arbitration Between Name of Claimant Josephthal Lyon & Ross Inc. 94-02870 Name of Resnondent Robert Todd Financial Corp- REPRESENTATION For Claimant Josephtal Lyon & Ross. Inc., ("Qaimant") appeared Robert E. Muiphy, Esq., Deputy General Counsel of Josephtal Lyon A Ross Inc. located in New York City. New York. Respondent Roben Todd Financial Corp. ("Respondent") d

NA.S.T>. AWARD NATIONAL ASSOCIATION OF SECURITIES HFAI J.RS. INC. In the maner of she Arbitracion Between Name of Claimants SKM Properties. Inc. and Bay Area Realty Defined Benefit and Trust NASD Arbitration No.94-03107 and 94-04091 (Consolidated cases) Name of Respondents Shearson Lehman Hutton, Inc. and John Davenport REPRESENTATinN For Claimants: Linda Mallette, Esq., Mallette & Libonati, San Mateo, California For Responde

N.A,S,n, AWARD NATTONAI. ASSnrTATfOM OF SPriTRTTTFJ! nPATFRS, IMP In the matter of the Arbitration Between Nfling of riaimante Metro Civic Insurance Agency, Inc., Richard L. Bumside and Merilyn Bumside V. ^ NASD Arbitration No. 94-03098 Name nf Rgspnndenr Sutro A Company, Inc. (Claunants dismissed David Koos widi prejudice from dus matter on May 19, 1995) PRPRFJSRNTATfON For Claunam: Christopher F. Wilson, Esq. Christopher Wilson A Assoc

NASD AWARD NATIONAL ASSOCIATION OF SECURI'HES DEALERS, INC. In che Matter ofthe Arbitration Baween Name of Claimant James and Claudette £. Fucci and 94-309S Name nf Respondent PaineWebber, Inc. REPRESENTATION OF PARTIKS James and Claudette E. Fucci ("Claimant") were represented by James Fucci. PaineWebber, Inc. ("Respondent") was represented by Joseph F. Generelli, Esq., PaineWebber^ inc., Weehawkcn, New Jersey. CASE INFORMATION The

N.A.S.D. AWARD NATIONAL ASSOCU'nON OF SECURITIES DEALERS In the Matter of the Arbitiation Between Ronald Zysko 94-03089 WaiPggfBffOTltfflltf Joseph A. Fiorito Peter Lucina Thomas Lonergan CASE SI3MMARY In a claim filed with the National Association of Securities Dealeis, Inc. on August 4,1994, Chtimam Ronakl Zysko ("Claunam"), through his representative, Howard Z. Gopoum, Esq., of Howaid Z. Gopman A Associates, in Skokie, IL., allege

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between LEO ZAMER vs. Claunant MERRILL LYNCH, PIERCE FENNER & SMITH INC. Respondem AWARD NASD j!f94-03087 REPRESENTATION OF PARTIES Daunam Leo Zamer ("Clumant") appeared on his own behalf and was assisted by Professor Guido Capponi, Professor Emeritus at the University of Arizona, Tucson, Arizona. Named Respondem Merrill Lynch, Pierce, Fenner A Smidi, Inc., ("Mer

NASD AWARD NATIONAL ASSOaATlON OP SECURITEES DEALERS, INC. In tbe Matter of the Aibitiation Between John F. Freiburger. Individually and as Tmstee of the Trust Agreemem Dated 21 June 1974 by Dorothv Mav Freibufyer and NASD Case Number 94-03083 Kidcpatrick. Pettis. Smitii. Polian. Inc. fochim REPRESENTATION OF PARTIES Claimants, John F. Freiburger, Individually and as Tmstee ofthe Dorothy Mae Freiburgcr Tmst were represented by Gail E. Bolive

Award NASD Dispute Resolution In the Matter of the Arbitration Between: rasp* NiimftfT 01-05776 UBS PaineWebber, Inc. e fif t\\f>. ppgpnnffcnt Hiring Site* Washington, DC Charles Patch Nature of the Dispute; Member vs. Associated Person n Claimant UBS PaineWebber, Inc. ("Claimant") was represented by Brent Bums, Esq., Davidson, Manchel & Brennan, LLP, Northvale, New Jersey. Respondent Charles Patch ("Respondent") was not represented by couns

NA.S.n AWART> NATTQNAr ASSOCIATION OF SECURITIRS DRAT RRS IMP In the matter of the Arbitration Between NamenfrUimant Bidwell&Co..IiK:. Name nf Respondent PluUip Ross Bevaus NASD Arbitration No.94-03079 REPRESRNTATION For Chumant: Linda R. Johannsen, Esq., Ater Wynne Hewitt Dodson A Skerritt, Portland, Oregon For Respondent: James T. McDennott, Esq., Ball, Janik A Novack, Portland, Oregon TASR INFORMATION Statement of

H.A.S.D. AWARD lOk'riOIIAL JISSOCZATIOH OT SXCURITIEB DEALERS In the Hatter of the Arbitration Between Name of Claimant Stuart Pamet 94-03049 Wane of Reanondenta Oppenhelmer & Co., Inc. Alice Jean Solomon For Claimant Stuart Pamet ("Claimant"): Brad Wertheiner, Esq., Philadelphia, PA For Respondent Oppenhelmer & Co., Inc. ("Oppenhelmer"]: Eugene L. Small, Esq., Oppenhelmer & Company, Kew York, NY For Respondent Alice Jean Solomon ("S