N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NjuneofCJaimjnts Charles Malkasian & Violet M. Malkasian 92-02714 Name of Respondents Dean Witter Reynolds Inc. Frank J. Peroa REPRESENTATION For Claimant: Jeffrey A. Sellers, Esq. For Respondent: Elizabeth Hill, Esq. of Dean Witter Reynolds, Inc. CASE INFORMATION Statement of Claim filed: August 12, 1992. Claimant's Submission Agre

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paine Webber. Inc. 92-02713 Name of Respondent Nancy Ann Barrack CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 13, 1992. Claimant PaineWebber, Inc.. through it's in-house counsel, Joseph F. Generelli, Esq., alleged that Respondent Nancy Ann Barrack received a prepay

N.A.S.D. AWARD * i i NATIONAL ASSOCIATION OF SECURITIES Dl In the Matter of the Arbitration Between ^£C 2 1993 Name of Claimant(s) l£L ARBITRATION Joseph Maenza Case No. 92-02705 Name of Respondent^ Paragon Capital Corporation Larry Blocksberg REPRESENTATION For Claimant Joseph Maenza ("Maenza"): Russell L. Forkey, Esq. For Respondent, Paragon Capital Corporation ("PCC"): Jerome J. Schwarzman, Esq. Respondent, Larry Blocksber

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Michael Cohen of Resondent(s) NASD Arbitration No. 92-02703 Kidder, Peabody & Co., Inc Kerry M. Day Myron L. Blackman REPRESENTATION For Claimant: Raymond Gaitan, Esq., Greenbaum And Ferentz, Newport Beach, California For Respondents: William H. Phelps, Esq, Kidder, Peabody & Co., Inc., Los Angeles, Californi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bill Merrill (Wendell W. Merrill) vs. NASD #92-02702 Name of Respondents First American Biltmore Securities, Jay Nance, E. Shawn Casias, Bruce Wank ft WR EfifFNTATION For Claimant: Joseph M. Galosic, Esq. of Ostwald & Yap, of Irvine, California For Respondents: First American Biltmore Securities - J. Nevers, R Casias -

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Juihsia Chu Sun and Linda Feng Min Sun, Claimants vs. CitiCorp Investment Services, Shao Te and Anna Toy, Respondents. Case Number: 99-03300 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimants, Juihsia Chu Sun and Linda Feng Min Sun, hereinafter referred to as "Claimants": Juihsia Chu Sun and Linda Feng Min Sun, Newark, California Respondents, CitiC

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold Birghenthai 92-02697 Name of Respondent Barry Potter CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc on August II, 1992. Claimant Harold Birghenthai, who appeared Pro Se, alleged that Respondent Barry Potter solicited him to purchase Club Theater Network stock by insistin

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bob E. Syphrett 92-02691 Name of Respondent Oppenheimer & Co., Inc. For Claimant: Bob E. Syphrett was represented by Jacalyn D. Scott, Esq. of Wilshiie Scott & Dyer, located in Houston, Texas. For Respondent: Oppenheimer & Co., Inc. was represented by Eugene L. Small, Esq. of Oppenheimer & Co., Inc., New York, New York. CAS

N.A.S.D. ORDER NATIONAL ASSOCIATION OF SECURITIES DEAI.EB.S. In the matter of the Arbitration Between Name Edward I. & Beatrice J. Kaltios NASD Arbitration No.92-02689 Name of Respondents> NCNB Securities, Inc. Gary Werner REPRESENTATION For Claimant: Alvin J. Schiftin, Esq., Mill Valley, California For Respondent: George C. Covington, Esq., Kennedy Covington Lobdell & Hickman, Charlotte, North Carolina f ASF. TNFOHMATTON Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeff Bailey 92-02688 Name of Respondents Merrill Lynch, Pierce, Fertner & Smith, Inc.; Marc Peacock REPRESENTATION For Claimant: Jeff Bailey was represented by Raymond H. Stauffacher, Jr., Esq. and Steve Ellinger, Esq. of Houston, Texas. For Respondents: Merrill Lynch. Pierce, Fenner & Smith, Inc. was represented by Michael