NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Paul Satish K. Dawar, Claimant, V. Olde Discount Corporation and Jerry Allen, Respondents. Suslul K. Dawar, individually and under power of attomey for Sunjay Dawar, Claimants, v. Olde Discount Corp. and Jerry AUen, Respondents. No. 95-03147 Consolidated with No. 95-01268 REPRESENTATION OF PARTIES Claimants Paul Sa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ofthe Arbitration Between Name of Claimants Iris & Robert Sandow 95-01985 Name of Respondents Hanover & Sterling, Ltd. Lowell Schatzer Jeffrey Haddad Royal Agiloff Robert Cattaggio REPRESENTATION For claimants Iris and Robert Sandow ("claimants") appeared Joan M. Markey, Esq., a sole practitioner, located in New York, New York. Respondent Jef&ey Hadda

UNIFORM SUBMISSION AGREEMENT NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Richard C. and Donna J. Hof^an 94^173 NameofResDondentfsl A.G. Edwards & Sons, Inc. Peter Cullen Jack Henning JeffS. Jamieson, Esq. 1. The undersigned parties hereby submit the present matter in controversy, as set forth in the attached statement of claim, answers, cross claims and all related counterclauns

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Frederick W. and Mary Ann Ruehr and Case Number: 01-05031 Hearing Site: Troy, Michigan Names of Respondents Merrill Lynch Pierce Fenner& Smith, Inc., and Scott N. Pardo REPRESENTATION OF PARTIES Frederick W. and Mary Ann Ruehr ("Claimants 11 ) acted pro se. Claimants were represented by Joel H. Kaufman, Esq., Farmington Hills, Michigan, unti

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant The Edith Byid Shumaker Rose Trust Case No. 95-00210 Name of Respondents MerriU Lynch Pierce Fenner & Smith Ine Ronald B. Lavergne REPRESENTATION For Claimant, Edith Rose, individuaUy and as Trustee of the Edith Byrd Shumaker Rose Trust ("Rose"): Robert H. Rex, Esq. and Barbara K. Olson, Esq. of Dickenson, Murdoch, Rex & Slo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Emil Shasha Award No. vs. 95-00066 Name of Respondents Mark Gerald Ross, Jr. Marie Gerald Ross Carl J. Lanzisera REPRESENTATION For Claimant, Emil Shasha ("Claimant"), appeared Barry A. Kaplan, Esq., a sole practitioner located in Pleasantville, NY. For Respondents, Mark Gerald Ross and Mark Gerald Ross Jr., ("Ross

N.A.S.D. AWARD NATIONAL ASSOCLiTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Namtgf Claimant Thomas H. Mulligan 93-01989 Fahnestock ft Co., Inc. Joseph C. Samaha REPRESENTATION For Claimant Thomas H. Mulligan CQaimanf"): Harold James Pickerstem. Bkq. of the law firm of Trager and Trager, Fairfidd, Connecticut For ReqKmdents Fahnestock & Co., Inc. ("Fahnestock'^ and Joseph C. Samaha (*'Samaha"): Charies E. Padgett, G

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Aitntration Between Name fif Claimam Roberts S. Wade NASD Arbitration vs. No.93-02799 Name of Respondents Scottsdale Securities, Inc. Rodger Riney Chase Smith MJMSENTATION For Claimam: Adam M. Duncan - CaUister, Duncan & Ndseker, Salt Lake City, Utah For Re^jondoits: Maxk M. Bettilyon - Ray, (^limiey & Nebdcer, Salt Lake City, Utah CASE INTOIIMATION

93-01546 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Paul L. and Heide Dranove Kidder, Peabody & Co., Incorporated REPRESENTATION For Claimants,- Paul L. and Heide Dttmove) ("Claimants"): Charles Dalziel, Esq. ofthe; law flim of Savell & Williams locatof in Atlanta, Georgia. ForSsMpondent, Kidder, Peabody AQif:',Incoiporated, ("Respondent"):Matthew Fariey,-' Bsq. of the law flim of Shanley'

N.A.S.D. AWARD NA'nONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimants Raiford and Betty Blackstone 93-01460 Name of Reapondents Kennedy, Cabot & Company Qnintal&CO.,bic. gASB SVMMARY In a claim filed with the National Association of Securities Dealen, Inc. on April 13, 1993, Claimants Raifbid and Betty Blackstone, who appealed Fro Se, alleged that Respondent Kennedy, Cabot & Company, along w