N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter cf the Arbitration Between Name of Claimants George E. Adam and Marie E. Adam and 92-01388 of Respondents Merrill Lynch, Pierce, Fenner fc Smith, Inc. Rick Humphreys and James S. Gross REPRESENTATION OF PARTIES Claimants, George E. Adam and Marie E. Adam appeared at the hearing pro se. Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. Rick Humphreys

HJBUC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-01386 AWARD In the Matter of the Arbitration Between Norma J. Schwarz Claimant vs. Shearson Lehman Brothers, Inc. Anthony Trattner Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dea-erg, Inc. on April 22, 1992, Claimant Norma J. Schwarz, through v -< -r representative Robert M. Roth of Agoura Hills, CA, alleged that respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ruth Rochelle Mace Revocable Living Trust 92-01383 Name of Respondents Shearson Lehman Brothers, Inc. and Robert A. Haupt For Claimant, Ruth Rochelle Mace Revocable Living Trust ("Claimant"): Arnold Y. Steinberg, Esq., Attorney At Law. For Respondents, Shearson Lehman Brothers Inc. ("Shearson") and Robert A. Haupt ("Haupt")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between jVTr of C Thomas & Helene Comunale, Ind. & as TTEE 92-01379 Name of Respondents) Shearson Lehman Hunon, Inc. Diane B. Davis Sumner Davis For Claimants, Thomas and Helene Comunale ("Comunales"): pro se. For Respondents, Shearson Lehman Hutton, Inc. ("Hutton"), and Diane and Sumner Davis ("Davises"): Brian B. Joslyn, Esq. of Boose Casey Cikli

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert I. Bakus 92-01377 Morgan Keegan & Company, Inc. Michael Poust CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 22, 1992, Claimant Robert J. Bakus, who appeared Pro Se, alleged that Respondent Michael Poust, while at the Respondent firm Morgan Keegan & Company, In

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Behrouz Saadat Claimant CASE 092-01374 AWARD vs. Quick & Reilly. Inc. Mike Devine Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 22, 1992. Claimant Behrouz Saadat who appeared Pro Se. alleged that Respondent Quick & Reilly, Inc. made an error when it purchased 1.000 shares of A

M.A.s.n. CF g"CL*3ITTgS S In the matter of the Arbitration Between Charles E. Thomas NASD Arbitration No. 92-01364 Mama of P United International Securities, Inc. Edwin Larson Daniel Broyles BttBUfiDAXXQK For Claimant: Charles E. Thomas, Laguna Hills, California For Respondents: Irving M. Einhorn, Esq., Einhorn & Edgerton, Los Angeles, California cAMLjarnmTTntt Statement of Claim filed: June 15, 1992 Claimant's Submission

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Wallace and Rena Perkins Claimants vs. Arbitration # 92-01362 Merrill Lynch, Pierce, Penner & Smith, Inc. Respondent ARBITRATION AWARD REPRESENTATION 1. Claimants were represented by Mr. Wallace Perkins. 2. Respondent was represented by Mr. Todd A. Zuckerbrod, Attorney at Law. CASE INFORMATION 3. On April 14, 1992, Wallace Richard Perkins and Rena V.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Daisy Simas (Claimant) v. Citcorp Investment Services (Respondent) Case Number: 99-03173 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Daisy Simas ("Simas"): Erwin Cohn, Esq., Cohn & Cohn, Chicago, Illinois. Respondent Citicorp Investment Services ("Citicorp"): Joanne M. Chormanski, Esq. Salomon Smith Barney Office of General Counsel, New York, New York. C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Glenn W. Sedgwick. Trustee of the Glenn W. Sedgwick Living Trust: 92-01359 Name of Respondents Tucker Anthony Incorporated, d/b/a Gabriele. HuegUn & Cashman: Steven B. Paskal For Claimant: Glenn W. Sedgwick, Trustee of the Glenn W. Sedgwick Living Trust ("Sedgwick") was represented by William J. Travis, Esq. of Greensfelder Hemker & Gale, P