N.A.S,D. AW.ARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration I5i v. .. • Nonnan Book. Claimant, v. 94-05263 M. Rimson & Company, Inc., Respondent. REPRESENTATION For Claimant, Norman Book ("Claimant"), appeared pro se. For Respondent, M. Rimson & Company., Inc. ("Respondent"), was not represented at the hearing. CASE INFQRMAHOW Statement of Claim filed: December 13, 1994 Claimant's Submission Agreement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Legg Mason Wood Walker, Inc. 94-05262 Name of Respondent Oscar J. Leon REPRESENTATION Claimant Legg Mason Wood Walker, Inc. ("Claimant") was represented at the hearing by Andrew Jay Graham, Esq. of the law firm of Kramon & Graham, P.A., Saltimore, Maryland Respondent Oscar J. Leon ("Respondent") did not .attend tha hear

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tony T. Coelho, Glen R. Gould and Michael J. McDonald, Claimants v. Prudential Securities, Inc., Respondent Case Number: 01-04287 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES "For"Claimants: "Mark J. Unterberger^sq. Lurie & Unterberger, Ltd. Chicago, Illinois For Respondent: Thomas J. Kavaler, Esq. Emily A. Poler, Esq. Cahill, Gordon & Reindel

N.A.S.D. REGULATION HNAL ORDER NATIONAL ASSOCL^TION OF SECLTtlTIES DEALERS REGLXATION, INC. In the Matter of the Arbitration Between Name of Claimant Bear Steams & Company 94-05260 Name of Resiwndent Gilbert Scharf REPRESENTATION For claimant Bear Steams & Co. ("claimant") appeared its representative and counsel Paul R. Williams, Esq. of the law firm Schupbach Williams & Pavone located in Garden City, New York. For Respondent Gilbert Sch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Myron Frank. Tmstee of the Sara Casiiel Revocable Trust 94-05258 Legg Mason Wood Walker, Inc Gcralyn Schroth Joel Wohl REPRESENTATION Claimant Myron Frank, Trustee of the Sara Castiel Revocable Tmst. ("Claimant") appeared pro se. Respondents Legg Mason Wood WaLker, Inc. ("Legg Mason"), Joe! Wohl ("Wohl") and Geralyn Schroth

N.A.S.D. AWAilD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anthony M. Midis 94-05154 Name of Respondent Barron Chase Securities, Inc. CASE SUMMARY In claim Tiled with the National Associatich of securities Dealers, Inc. on December 8, 1994, Claimant Anthony M. Midis, who appeaittd Pro Se, alleged that Respondent Barron Chase Securities, Inc., improperly canceled a purchase in his accou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith Inc 94-05152 Name of RestJondent Design Pros, Inc. REPRESENTATION Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") was represented at the hearing by Robert T. Cohen, Esq. Respondent Design Pros, Inc. ("Design Pros") did not appear at the hearing. CASE INFORMATION

N.A.S.D. AWARD MATIOMAL AS8OCZATZ0M OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiinant Howard K. Roberts 94-05149 Name of Respondent^ Prudential Securities Inc Jim Cronin Robert Bratcher RBPRpygyyi^T'iioy Claimant Howard N. Roberts ("Claimant") appeared at the hearing pro se Respondents Prudential Securities, Inc. ("Prudential") , Jim Cronin ("Cronin") and Robert Bratcher ("Bratcher") were re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Herbert M. Lurie 94-05148 Name of Respondent Sunpoint Securities, Inc. John M. Fromm REPRESENTATION For Claimant Herbert M. Lurie ("Claimant") appeared Robert S. Wbitehill, Esq. of the law firm of Deasey & Whiiehill, P.C. located in Pittsburgh, Perjisylvania. For Respondent Sunpoint Securities, Inc. ("Sunpoint") appeared Frederick C. Summers, HI, Esq., a sole practitioner located in D

N.A.S.D. AWARD NATZOMAL ASSOCIATION OF SECURITIES DEALERS In the Mat-ter of the Arbitration Between Name of Claimant David Mahlof 94-05138 Name of Respondents M. Rimson & Company Anthony Esposito Mark Judge REPRESENTATION Claimant David Mahlof ("Claimant") appeared pro se Respondent M. Rimson & Co. ("Rimson") did not appear Respondent Anthony Esposito ("Esposito") did not appear Respondent Mark Judge ("Judge") did not appear