N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jay and Jocelyn Alvarez vs. 94-01750 Name of Respondent Ignatius Teichberg REPRESENTATION Claimants Jay and Jocelyn Alverez ("Claimants") appeared pro se. For Respondent Ignatius Teichberg ("Teichberg") appeared David Robbins, Esq., Kaufmann Feiner Yamin Gildin & Robbins, New York, NY. CASE INFORMATION Jay and Jocelyn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Robert Green NASD Arbitration No. 94-01747 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION For Claimant: Paul W. Thomas, Esq., Carlsbad, California For Respondent: Curt H. Mueller, Esq., Dean Witter Reynolds, Inc., San Francisco, California CASE INFORMATION Statement of Claim filed: May 10,1994 Cl

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Judith K. Marshman and 94-01745 Name of Respondent Prudential Securities, Inc. Stephen R. Kull REPRESENTATION OF PARTIES Judith K. Marshman ("Claimant") was represented by David L. Lee, Esq., Chicago, Illinois. Prudential Securities, Inc. ("Respondent Prudential") was represented by Elizabeth H. Lindh, Esq., Keesal, Young

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hugh Joel and Carlene Wood Kim A. Wright JTWROS 94-01742 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. James Harten CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc., on May 10, 1994, Claimant, Hugh Joel and Carlene Wood and Kim A. Wright JTWROS ("Claimants"), who appeared Pro Se, alle

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Janet T. Flam 94-01741 Name of Resjjondent(s) Dean Witter Reynolds Inc. John Fahey REPRESENTATION For Claimant Janet T. Flam ("Flam") appeared Anthony J. Ferrara, Esq., of Polstein, Ferrara & Dwyer, P.C., located in New York, N.Y. For Respondent Dean Witter Reynolds, Inc., ("Dean Witter") appeared John V. McCambley, Esq.

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: Guy Bohmer, SSB IRA 01-03042 Names of the Respondents Hearing Site: Salomon Smith Barney, Inc., Ronald Rosenberg, and Jonathan J. Grant Boca Raton, FL REPRESENTATION OF PARTIES For Guy Bohmer, SSB IRA, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Law Offices of Darren C. Blum, P.A., Plantation, FL. For Respondents Salomon Smith Barne

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kenneth S. Shanon, Individually and as Trustee of the Kenneth S. Shanon 1990 Trust Dated July 18, 1990, Claimant vs. Everen Securities, Inc., Joseph Dragoman, First Union Securities, Inc. and Certain Unknown Officers, Directors, Managers, Supervisors, and Controlling Persons, Respondents. Case Number: 00-00937 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimnt John E. Pflieger, Sr. 94-01 738 Name of Respondents Capital Investment Managers, Inc. and S. Gregory Smith REPRESENTATION For Claimant John E. Pflieger, Sr. ("Claimant"): Arthur M. Schwartzstein, Esq. of the law firm of Arthur M. Schwartzstein, P.C. For Respondents Capita! Investment Managers, Inc. and S. Gregory Smith {"

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Pamela V. Meisel and 94-01737 Name of Respondent Oppenheimer & Co., Inc. Patrick S. Jage REPRESENTATION OF PARTIES Pamela V. Meisel ("Claimant") was represented by Martin B. Carroll, Esq., Hefter & Radke, Chicago, Illinois. Oppenheimer & Co., Inc. ("Respondent Oppenheimer") and Patrick S. Jage ("Respondent Jage") were

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClajmants Richard A. Hintz & Grace M. Hintz 94-01732 Name of Respondent William Harlan Seals REPRESENTATION For Claimant: Richard A. Hintz and Grace M. Hintz ("Hintz") were represented by Diane Hodges, Sterling Heights, Michigan. For Respondent: William Harlan Seals ("Seals") appeared pro se. CASE INFORMATION Statement of Claim fi