NASD Arbitration No. 92-02356 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Rohm Corporation Name of Respondents') Merrill Lynch, Pierce, Fenner & Smith, Inc. Timothy J. Bangert REPRESENTATION For Claimant: Paul A. Renne, Esq. and Steven L. Friedlander, Esq., Cooley Godward Castro Huddleson & Tatum, San Francisco, California For Respondents: John W. Keker, Esq. a

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Suzan R. (Cittadine) Campbell 92-02354 Name of Respondents Brian Frost Raffensperger, Hughes & Co.. Inc. For Claimant: David J. Cutshaw, Esq. of Cohen & Malad, P.C., Indianapolis, Indiana. For Respondent Brian Frost: Mark E. Maddox, Esq. of Coons & Saint, Indianapolis, Indiana. CASE INFORMATION Statement of Claim

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John Filipiak and Yvonne C. Filipiak vs. Names of Respondents Parker/Hunter Incorporated and Charles R. Johnson Case Number: 05-05471 Hearing Site: Pittsburgh, Pennsylvania NATURE OF THE DISPUTE Customers vs. Terminated Member and Associated Person REPRESENTATION OF PARTIES John Filipiak and Yvonne C. Filipiak, hereinafter collectively refe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant; Greg W. Barnewold & Florence Carassale 92-02349 Name of Respondents David Lerner Associates, Inc. Vantage Securities, Inc. Clinton Champney REPRESENTATION For Claimants: Lynne A. Bizarro, Esq. of the firm of Zodda & Bizzarro located in Sayville, New York. For Respondent David Lerner Associates, Inc.: Ruthann G. Niosi,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of .ClaimanUs) GilGillard 92-02348 Name of Respondent^ Prudential Securities Inc Shaun A. Mansfield CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 15, 1992, Claimant Gil GUlard, through his representative, Brian K. Lowe of Investors Arbitration Services, Woodland Hills, Califo

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William J. Peters vs. 92-02340 Name of Respondents OTRA Clearing, Inc. R.B. Webster Investments. Inc. William David Jones Richard Dale Kerwit Brad Nirenberg CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 14, 1992, Claimant William J. Peters, through his rep

N.A.S.D. AWARD NATIONAL ASSQCIA1 iOtN T OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ernest J. Ceccarelli NASD Arbitration No. 92-02339 Name of Respondent Richard Keleske REPRESENTATION For Claimant: In Pro Se For Respondent: No Appearance CASE INFORMATION Statement of Claim filed: July 14, 1992 Claimant's Submission Agreement signed: July 7, 1992 Statement of Answer filed by Respond

NASD Arbitration No.92-02338 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Michael Browne Name of Respondent(s) Kidder, Peabody & Co., Inc. Prudential-Bache Securities, Inc. Brian Tremain REPRESENTATION For Claimant: Nicolas C. Vaca, Esq., Vaca & Vaca, Walnut Creek, California For Respondent Kidder, Peabody: William H. Phelps, Esq., Kidder, Peabody & Co., Lo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Donald Brown, Walter Brown, Lissa Brown, and Thelma Brown, (Claimants) vs. Foster Jeffries Securities, LLC, Douglas Leone, Kevin Held, George Michael Greco, Paul J. Greco, UCH, Inc., Sean McManus, Thomas Maiorana, Steven Lee Karno, Hampton & Harbor, LLC, Robert Thomas, Edward O'Brien, Michael Weiner, and Yaacov Jake Ariel, (Respondents) Case Number: 99-03247 Hearing Site: Boston,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Isaac M. Diiler 92-02337 Name of Respondent^ Smith Barney Harris Upham & Co.. Inc. Mark Martino REPRESENTATION Claimant appeared Pro Se. For Respondent Smith Barney, Harris Upham & Co., Inc. and Mark Martino: Linda Alpert, Esq. in-house counsel at Smith Barney. CASE INFORMATION Statement of Claim filed