N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 94-00509 Name of Respondent Michael Lubin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 10,1994, Claimant GKN Securities Corp. ("GKN"), through its representative and general counsel, Katherine Nathan, Esq., alleged that on or about December 10, 1993, Re

NASD FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Zinsmeyer Trusts Partnership and Names of Respondents qy- oo PaineWebber, Inc., PaineWebber Group, Inc., Mitchell Hutchins Asset Management, Inc., William J. Reik, Jr., William D. Witter, Inc., Morgan Stanley & Company, Inc. and Kidder, Peabody & Company, Inc. REPRESENTATION OF PARTIES Claimant,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ulric F. Thompson 94-00448 Name of Respondents Thomas James Associates. Inc. William Manzullo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1994. Claimant Ulric F. Thompson, who appeared Pro Se, alleged that he purchased 1000 shares of Network Imaging Corp. stock from

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between * Paul W. Slone. Ercell H. Slone. Triangle Auto Sales. Inc.. a New Mexico corporation. Trianle Auto Sales . Inc . Mone Pension Plan. Triangle Auto Sales. Inc. profit Sharing Plan and Paula Romero. custodian for Kristina M. Romero, a minor f Claimants and No. 94 -00219 Dean Witter Reynolds. Inc. . Respondent REPRESENTATION OF PARTI

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Gillette 94-00216 Name of Respondents Olde Discount Corporation Steve Weidemann CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 19, 1994, Claimant John Gillette, who appeared pro se, alleged that Respondents Olde Discount Corp. ("Olde") and Steve Weidemann ("Weidemann"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Claimant Steven Kroft Case No. v. 93-04281 Respondent Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION For Claimant, Steven Kroft ("Claimant"), Donald Schneider, Esq. from the law firm of Feltman, Karesh, Major and Farbman located in New York, New York. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc. ("Respondent"), Brian Am

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the maner of the Arbitration Between LAUREN S. SOLL, Claimant, v. NASD No. 93-03478 ROSE SECURITIES CORPORATION, WILLIAM A. GOLDSMITH and ALAN S. BIRD Respondents. Representation For Claimant: Bruce Spear, Esq. of Herring, Spear & Loftus, San Diego, California For Respondent: James L. Sanders, Esq. of Sheppard, Mullin, Richter & Hampton, Los Angeles, California Case Information

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02303 Stephen Fortunoff and Madeleine Fortunoff, claimants vs. Josephthal & Co, Inc., respondent. ATTORNEYS: For Claimants Stephen Fortunoff and Madeleine Fortunoff ("Claimants"), Charles W. Austin, Jr., Esq., Richmond, Virginia. For Respondent Josepthal & Co., Inc. ("Respondent"), John Bersin, Esq., Associate General Counsel, Josephthal & Co., Inc., New York,

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Phelps Industries, Incorporated and Case Number 93-03427 Names of Respondents Merrill Lynch, Pierce Fenner & Smith, Incorporated, William B. Jolly and Emmett Beard REPRESENTATION OF PARTIES, Phelps Industries, Inc. ("Claimant") was represented by Ivo Phelps. Merrill Lynch, Pierce Fenner & Smith, Inc. ("Respondent"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Doris Edelman Case No. 91-03244 Name of Respondent(s) Prudential-Bache Securities Inc. REPRESENTATION For Claimant, Doris Edelman ("Edelman"): Jan Douglas Atlas, Esq. and Howard N. Kahn, Esq. of Atlas, Pearlman and Trop, P.A. For Respondents, Prudential Securities, Inc. ("Prudential"), Patrick Finley ("Finley") and Alviji