N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between u/w/o Ronald B. Goodman ttee f/b/o Lambertus R. P. Schoonheim Ryk & Doireann Schoonbeim 92-02177 Name of Respondents Shearson Lehman Brothers, Inc. Mark Drocker For Claimant: Philip T. Simpson, Esq. of the law firm of Robinson Brog Leinwand Reich Genovese & Gluck P.C. For Respondents: Shearson Lehman Brothers, Inc. and Mark Drucker Edward N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert S. Lea and Claire Lee 92-02176 Independent Financial Consultants, Inc. Thomas B. Strickland For Claimant Robert S. L0e and Claire Lee ("Lee"}: William 3, Schlfino, Jr., Esq. of Williams, Reed, Weintfeta, Schiflno ft BAnKme, P.A. For Respondent*: Independent Financial Conmltaati, Inc. ('Independent") and Thooiu E. Strickland ("Strtekhuxl'')

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Albeit N. Tognazzi Case No. 92-02175 Name of Respondents PmdenriaJ-Bache Securities Inc. Janes Genz RKERJSSENTAT1ON For Claimant, Albert N. Tognazzi ("Tognazzi"): For Respondent, Prudential Securities, Inc. ("Prudential") and. James Gertz ("Gertz"): CarJa L. Brown, Esq. of Honigman Miller Schwartz and Cohn. CASE INFORMA

N.A.S.D. REGULATION, INC. AWARD NASO Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name Edward C. and Lucille Jana 92-02173 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc.; Paul Waigand AWARQ REPRESENTATION OF PARTIES For Claimants: Norman Rifkind, Esq. of Lasky & Rifkind, Chicago, Illinois For Respondents: Peter A. Cantwell, Esq. and Stephen F. Boulton, Esq. of Cantwell & Cant

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Arnold S. and Barbara Lincow, JTWROS vs. Case No. 99-03221 Name of Respondents Salomon Smith Barney Inc. Samuel A. Ruth REPRESENTATION OF PARTIES Claimants, Arnold S. and Barbara Lincow, JTWROS, hereinafter collectively referred to as "Claimants": Samuel E. Cohen, Esq., Fox, Rothschild, O'Brien & Frankel, Philadelphia, Pennsylvania Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant J.T. Moran and Co., Inc. 92-02172 Name of Respondent Donald Securities Co., Inc. REPRESENTATION For Claimant J. T. Moran & Company, Inc:: Robert Ouriel, Esq. of the law firm of Kurtzman & Haspel. For Respondent Donald Securities Co., Inc.: Michael DiGiovanna. Esq. of the law firm of Dombush Mensch Mandelstam & Schaeffer.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Melford 92-02165 Name of Respondents Salvatore Maichiano A.S. Goldman & Co., Inc. For Claimant: Jonathan Kord Lagemann, Esq. , a sole practitioner. For Respondent: Steven Rogers, Esq. of Kelley Drye &, Warren. CASE INFORMATION Statement of Claim filed: June 25, 1992. Claimant's Submission Agreement signed on: Ju

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between " Name of Claimants) Estate of Emma Jean Benbow 92-02163 Najnrje pf Respondents) -^ Shearson Lehman Hutton, Inc. Prudential-Bache Securities Inc. Matthew Stevens Claimant, the Estate of Emma Jean Benbow ("Benbow") was represented by John R. Kiefner. Jr., Esq. of Riden, Earle & Kiefner, P.A., St. Petersburg, Florida.. Respondent, Shearson Le

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elizabeth Wright-Carter 92-02161 Name of Respondent Mary D. Dunbar CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 30, 1992, Claimant Elizabeth Wright-Carter, who appeared Pro Se, alleged that Respondent Mary O. Dunbar, while employed by the firm John Dawson & Associates, Inc., wa

N,A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michelle Owen, as Trustee for the Arthur Fitzgerald Living Trust NASD Arbitration No. 92-02158 Namp pf Respondents Kidder, Peabody & Co., Inc. Patrick J. Sahli REPRESENTATION For Claimant: H. Thomas Fehn, Esq. - Fields, Fehn and Sherwin, Los Angeles, Ca. For Respondents: William Phelps, Esq. - Kidder, Peabody & Co.