Award NASD Regulation, Inc. In the Matter of the Arbitration Between: James S. White, Vince H. Lombardi, Jill F. Lombardi, and Magic City Beverage Co., (Claimants) vs. Bear Stearns Co., Inc., (Respondent) Case Number: 99-02960 Hearing Site: Dallas, TX REPRESENTATION OF PARTIES Claimants, James S. White ("White"), Vince H. Lombardi and Jill F. Lombardi (collectively, "Lombardi") and Magic City Beverage Co. ("Magic City"), hereinafter collectively referre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Harold & Effie Lindner Case No: 92-00150 NameofResoondentfs} Cowen & Company Richard Karasick d/b/a Karasick Asset Management Company For Claimants, Harold and Effie Lindner ("Lindners"): Steven R. Reininger, Esq. of Rasco and Reininger. For Respondents, Cowen and Company ("Cowen"): Jonathan Wolfert, Esq. of Kaplan,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Njtme of Claimant David Hodgdon, as trustee of the Sam D. Hodgdon Trust, u/a/d January 4, 1988 92-00147 ?jame of Respondents Shearson Lehman Hutton, Inc., n/k/a Smith Barney Shearson, Inc.; Lester Larry Sockey REPRESENTATION For Claimant: David Hodgdon, as trustee of the Sam D. Hodgdon Trust, u/a/d January 4,1988, ("Hodgdon") was repres

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ^ Alfredo Gonzalez NASD Arbitration No. 92-00142 Name of Respondents) Paine Webber Incorporated George W. Waldie, Jr. Gregory A. Yankovsky REPRESENTATION For Claimant: Jeffrey M. Jones, Esq., Law Office of Archibald M. Mull, HI, Old Sacramento, California For Respondents: Scott M. Ratchick, Esq., PaineWebber Incorporated, Lo

PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Atlantic Business Group, Inc. Claimant va. CASE #92-00141 AWARD A.S. Goldmen & Co. Tony Smith Respondents CASH SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 14, 1992, Claimant Atlantic business Group, Inc. through its representative Michael J. Feeney, alleged that Respondents A.S. Go

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cjaijnantg Tom and Gene Dirnberger NO. 92-00139 NtUn*» of Respondents Dean Witter Reynolds, Inc., Gregg Happe, and Sandra West REPRESENTATION OP PARTIES For Claimants: Gary L. Phleger, Esq. of Johnson & Wood, P.A. Wayzata, Minnesota. For Respondents: Wendy R. Robinson, Esq. of Dean Witter Reynolds, Inc., San Francisco, Californi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00138 AMARD In the Matter of the Arbitration Between Ann Stager Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Steve Quinley Justin J. Kurd Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 14, 1992, Claimant, Ann Stager, who appeared Pro Se, alleged that she maintained an IRA account with Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Corinne S. Badanes Case No. 92-00134 Name of Respondent! s) Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas D. Stackert REPRESENTATION For Claimant, Corinne S. Badanes ("Badanes"): Albert W. Badanes. For Respondents, Merrill Lynch. Pierce, Fenner & Smith, Inc. ("Merrill") and Thomas Stackert ("Stackert"): Robert Goldbe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John E. Schroeder Florence J. Schroeder NO. 92-00131 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION OF PARTIES For Claimants: Rex J. Ridenour, Esq. of Bricks, Ridenour, Norman and MaceJc, Davenport, Iowa. For Respondent: William A. Hohauser, Esq. of Shearson Lehman Brothers, Inc., New York, New York.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tne Matter of the .Arbitration Between Name of Claimant Michael A. Rogawski 92-00130 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION Claimant Michael A. Rogawski ("Claimant") represented himself. Respondent Shearson Lehman Brothers, Inc. ("Respondent") was represented by William J. Burns, Esq., Vice President, Compliance Division, Shearson Lehman Brothers, Inc.