NASD AWARD Claimants Gilbert Charland Respondent Hanover Sterling & Company, Ltd. Case Number 94-01934 Claimant, Gilbert Charland ("Charland") was pro $g. jf Respondent, Hanover Sterling & Company, Ltd. ("Hanover") was represented by M. David Sayid, Esq. of Sayid and Associates, New York, NY for purposes of the Statement of Answer, however no representative for Hanover appeared at the hearing. CASE INFORMATION Statement of Claim file

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (s) Ron W. Hirschi Terry L. Hirschi NASD Arbitration No. 94-01933 Name of Respondent ( s } A.G. Edwards and Sons, Inc. Michael Forbes Carey Wold REPRESENTATION For Claimants: Reid E. Lewis, Esq., Salt Lake City, Utah * *_- < ~ For Respondents: M. Jane Matoesian, Esq., A.G. Edwards and Sons, Inc.

NASD Arbitration No. 94-01924 N.A.S.D. AW7.RD NATIONAL ASSOCIATION OF SECURITIES Df'-'.LERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Lee Zorne Name of Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimant: Lee Zorne, Esq., Beverly Hills, California For Respondent: Maren E. Nelson, Esq., Morrison & Foerster, Los Angeles, California CASE INPOSMATTON Statement of Claim filed

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James L. Roberts and 94-01921 Name of Respondent Kemper Securities, Inc., now known as Everen Securities, Inc. REPRESENTATION OF PARTIES For Claimant: Claimant James L. Roberts ("Roberts") was represented by David S. Acker, Esq. of Williams Bay, Wisconsin. For Respondent: Respondent Kemper Securities, Inc. ("Kemper"), now kn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jerome F. Perrone, Jr. 94-01916 Name of Respondents Steve Morgan Hibbard Brown & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 5, 1994, Claimant Jerome F. Perrone, Jr., who appeared Pro Se, alleged that Respondent Steve Morgan solicited his business through a "cold

N A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS fn the Matter of the Arbitration Between Name of Claimant John M. Hipkins 94-01914 Name of Respondents Victor Whang Donald Cox CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 20,1994, Claimant John M. Hipkins ("Claimant"), who appeared Pro Se, alleged that Respondents Victor Whang ("Whang"), and Donald Cox ("Cox"), as representatives

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants LeEtta Engblom 94-01913 Name of Respondents Eric Equities, Inc. DeanBurchett CASE SUMMARY la a claim filed with the National Association of Securities Dealers, Inc. on May 19,-1994, Claimant LeEtta Engblom, who appeared Pro Se, alleged that Respondent Dean Burchett ("Burthen") made positive, stable sounding statements

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants NASD Arbitration Anthony LoBianco #94-01908 Joseph Mancuso vs. Name of Respondents Smith Barney, Inc. Reich 8c Co., Inc. Fahnestock 8t Co. Kenneth Bolton REPRESENTATION For Claimants: Joseph F. Kyle, Esq., Kyle and Kyle, Las Vegas, Nevada For Respondents Reich & Co., Inc., Fahnestock & Co., and Kenneth Bo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) William A. Lake 94-01903 Name of Respondent^ Smith Barney Shearson, Inc. Gregory A. Thompson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 20, 1994, Claimant William A. Late, through his representative, Robert M. Roth, of R.M. Roth and Associates, Appleton, WI, alleged tha

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant F. Sears Harris and 94-01901 Name of Respondent Smith Barney Shearson, Inc. REPRESENTATION OF PARTIES ^•SBBdliBBBBSHatt0AE9BaHHSHSMB^BE^MABiBBdfenflBai| **• - - -- — - - - f^_ F. Sears Harris ("Claimant") was represented by Michael A. Meyer, Esq., Sidwell & Barrett, P.C., Franklin, TN. Smith Barney Shearson, Inc.