PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara D. Case 92-02153 Name of Respondent Gregory Ferguson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 29, 1992, Claimant Barbara D. Case, who appeared Pro Se, alleged that Respondent Gregory Ferguson, while employed by E.F. Hutton, failed to get her out of Malrit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles D. Erickson Case # vs. 92-02150 Name, of Respondent Kidder, Peabody & Co., Incorporated REPRESENTATION For Claimant: Jeffrey L. Liddle, Esq., from the law firm of Liddle & Robinson, located in New York, New York. For Respondent: George A. Stohner, Esq., from the law firm of Morgan, Lewis & Bockius, located in New Yo

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Jose Luis Falcon 92-02146 Name of Respondents Dickinson & Co. Swartwood Hesse, Inc. T. Marshall Swartwood REPRESENTATION For Claimant Jose Luis Falcon ("Falcon") appeared Philip M. Chiappone, Esq., of the law office of McCanliss & Early located in New York, New York. For Respondents Dickinson & Co. ("Dickinson"), Swartwood Hesse, Inc. ("Hesse"), and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALRPS In the Matter of the Arbitration Between Name of Claimant Ernst & Company Name of Respondent Glen C. Farkas NASD Arbitration No. 92-02141 For Claimant: Michael H. Du Boff, Esq. - Salon, Marrow & Dyckman - New York For Respondent: Morgan Bentley, Esq. - Newark, New Jersey CASE INFORMATION Statement of Claim filed: June 26, 1992 Claimant's Submission Agreement signed: June 2

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward J. Kinsella 92-02139 Name of Respondents A.G. Edwards & Sons, Inc. Edward W. Gasper Robert O'Brien, Sr. For Claimant, Edward J. Kinsella ("Kinseila"): Jane A. Sink, Esq. For Respondents, A.G. Edwards A Sons, Inc. ("A.G.E"), Edward W. Gasper ("Gasper") and Robert O'Brien, Sr. ("O'Briea"): William S. Port, Esq. of

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Frances H. Nash, (Claimant) vs. Josephthal & Co., Inc., Michael Carreon, Kenneth Cerruto, Vincent Reinstein and James Hawryluk (Respondents). Case Number: 99-03213 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Frances H. Nash, hereinafter referred to as "Claimant": Timothy M. McDaniel, Esq., McDaniel & Allen, Houston, Texas. Respondents, Josephthal &

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kathleen J. Evola v. CCM Financial Corporation, Jeffrey A. Egan, Washington Square Securities, Inc., Seger Financial, Inc., Raymond James Financial Services, Inc., Investment Management & Research, inc., and Donald Joseph Whitton Case Number: 00-1095 -^ Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, Kathleen J. Evola, hereinafter referred to as "Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Maria Pa v I ides 92-02138 Name of Respondents Julie R. Hupp Derand/Pennington/Bass. Inc. REPRESENTATION Claimant Maria Paviides ("Claimant") represented herself. Respondent Julie R. Hupp ("Hupp") was represented by Steven R. Becker of the law firm of Semmes. Bowen & Semmes. Respondent Derand/Pennington/Bass, Inc. ("Der

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jimmy C. Cox Case No. 92-02137 N i ame of Respondent Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION For Claimant, Jimmy C. Cox ("Cox"): J. Reese Daniel, Esq. of Daniel & Daniel. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"): Charles L. Henderson, Esq. of Merrill Lynch. CASE IN

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUKTITES DEALERS In the Matter of the Arbitration Between NauneorCJaimant Vincenzo Mure 92-02134 Name of Respondents GSG Global Securities Group, lac. Keith J. Buscemi CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 25, 1992, Claimant Vincenzo Mure, by and through his counsel Duane Totten, Esq. of McVane, Bellohuono, Kuzmak & Wiezalis, Har