N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant. Alan E. Goehring and 92-00082 Name of Respondents Brokers Transaction Services, Inc. and Southwest Securities, Inc. REPRESENTATION OF PARTIES Claimant Alan E. Goehring appeared pro se. Respondents Brokers Transaction Services, Inc. and Southwest Securities, Inc. were represented by Jerome S. Wade, Esq. of Southwe

N.A.S.D. MOffiD NATIONAL ASSOCIATION OF SJaJUklTUfiS DEALERS In the Matter of tha Arbitration Between ) of The Estate of Nathan B. Jacobs ) ) Case No. 92-00081 Name of Respondent(s) Dean Witter Reynolds, Inc. James B. Davis For Claimant, The Batata of Nathan B. Jacobs ("Jaooba"): William Scott, Esq. of Brooks, Pierce, MtrTiandnn, Bumphezy & Leonard. For Respondents, Dean Witter Reynolds, Inc. ("Dean Witter*) t and James Davis ("Davis")

N.A.S.D. ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Bloomfield Order vs. #92-00077 Name of Respondents Whale Securities Co., Inc. George J. Behling, Jr. For Claimant, John Bloomfield ("Claimant"), Joanne Rowland, Esq., located in New York, New York. For Respondent, Whale Securities Co., Inc. ("Whale Securities"), David Wagner, Esq., from the law Firm of Tenzer Green

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Phyllis Jean O'Reilly and 9240074 Name of Respondents The Mutual Life Insurance Company of New York MONY Securities Corporation. The Sharp Financial Group, Inc.. The Sharp Consulting Group, Inc. and Roger L. Sharp REPRESENTATION OF Claimant Phyllis Jean O'Reilly appeared pro se. Respondents The Mutual Life Ins

Arbitration N.A.S.D. AWARD NftTICNAL ASSOCIMTCN OF SECURITIES DFMfiRS In the Matter of the Arbitration Between~ Name ot^ Claimmt Robert Suskr> 92-00068 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Pacific Southern Securities Inc. Edgel Groves For Claimant: For Respondents: Allan P. Harris, Esq. of the law firm of Harris, Van Geld

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant]^ Howard Fames 92-00066 Name of Resoondentfs) M&T Discount Brokerage Services, Inc. REPRESENTATION For Claimant Howard Fames: Steven G. Storch, Esq. of the law firm of Storch Amini and Munves, P.C. For Respondent M&T Discount Brokerage Services, Inc.: Charlotte Moses Fischman. Esq. of the law firm of Kramer, Levin, Nessen,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Martin and Sally Coffter NASD Arbitration No.92-0112 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Ron Visconti For Claimants: Bruce R. Safran, Esq., Encino, California For Respondents: Robert Goldberg, Esq., Merrill Lynch, Pierce, Fenner & Smith, Inc., New York, New York CASE INFORMATION Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Katherine G. Baker . - The Katherine Baker Trust The Triple B Corp. Defined Benefit Pension Plan and Trust and 92-00109 Name of Respondents Bekhor Securities Corporation First Affiliated Securities. Inc. J. Pat Bonn REPRESENTATION The Claimants were represented by Jerry S. Harris, Esq. of Harbour Kenley Boyland

\ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PUBLIC Arnold S. Lincow, TTE, Medical Management, inc. Defined Cont. Corp. Plan 92-00102 Janney Montgomery Scott, Inc. J. Klatz et al. For Claimant Arnold S. Lincow, TTE, Medical Management, Inc. Defined Cont. Corp. Plan: Anthony Horn, Esq. of the law firm of Hwong & Nix. For Respondents Janney Montgomery Scott, Inc. J. Klatz et al.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Pax Options, (Claimant) vs. Sander Gerber, (Respondent) vs. S & S Securities (Third-Party Respondent) Case Number: 99-02962 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Pax Options, hereinafter referred to as "Claimant": Max Folkenflik, Esq., Folkenflik & McGerity, New York, NY. Previously represented by: Andrew P. Weiss, Esq., a sole practitioner,