NASD Arbitration No. 94-01136 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name o£ Claimant(sL Michael A. Adams Name of Respondent(s) Merrill Lynch, Pierce, Fenner & Smith Inc. REPRESENTATION For Claimant: Larry L. Caudle, Esq., Anchorage, Alaska For Respondent: Scott J. Nordstrand, Esq., Owens & Turner, P.C., Anchorage, Alaska CASE INFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Wendy H. Cohen 94-01135 Name of Respondent Fidelity Brokerage Services, Inc. For Claimant, Wendy H. Cohen ("Cohen"): Maxine Bradford, Esq. and Jack Stein, Esq., of Stein, Rosenberg & Winikoff, P.A., Fort Lauderdale, Florida. For Respondent, Fidelity Brokerage Services, Inc. ("Fidelity"): Anne Marie Dever, Esq., of Fidelity, Bos

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between •. Name of Claimant John C. Denny 94-01133 Name of Respondent Dwight Campbell Representation of Parties Claimant John Denny ("Denny") appeared at the hearing and was represented Pro Se. Respondent Dwight Campbell ("Campbell 1 ') of Noble Investment Co. of Palm Beach ("Noble Investment"), Boca Raton, FL, appeared at the hearing and C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James Botten 94-01131 Name of Respondents South Richmond Securities, Inc. and David L. Hagans Representation of Parties Claimant, James Botten, appeared at the hearing and was represented by Quentin R. Wittrock, Esq. of Gray Plant Mooty Mooty & Bennett, P.A., Minneapolis, Minnesota. Respondent, South Richmond Securities, Inc. did not appear at

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Paul Eddie Dwyer 94-01127 Name of Respondents Dennis Roth CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 23,1994, Claimant Paul Eddie Dwyer, who appeared Pro Se, alleged that he purchased 700 shares of of Top Source Technologies, Inc. stock through Respondent Dennis Roth. C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between • Name of Claimant Rose Mary Fowler 94-01126 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Janet Marie Krug Larry Ray Petty Michael J. O'Leary CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 23, 1994 Claimant Rose Mary Fowler ("Claimant"), through her representative, Rob

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul C. Ciernia 94-01123 Name of Respondentfs) Hibbard Brown & Company, Inc. (Bankrupt) Robert E. Parker, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 23, 1994, claimant Paul C. Ciernia, who appeared Pro Se alleged that on December 18, 1991 his broker respondent Robert

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Leola Farmed and NASD Case Number 94-01122 Wendell D. Belden REPRESENTATION OP PARTIES Claimant, Leola Farmer appeared Pro Se. Respondent, Wendell D. Belden also appeared Pro Se. CASE INFORMATION The Statement of Claim was filed on or about March 23, 1994. The Submission Agreement of Leola Farmer was signed on March 7, 1994. An letter

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Maurice Levinsky Frederica Levinsky 94-01106 Name of Respondent(s) Dean Witter Reynolds Inc. Perry Lee Robin G. Harris Nicholas Mueller CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 22, 1994, Claimants Maurice and Frederica Levinsky, who appeared Pro Se, alleged

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Name of Claimant Vernon W.* cooke 94-01102 Name of Respondents Global America, Inc. Michael J. Markowski Peter Hart REPRESENTATION Claimant Vernon W. Cooke ("Claimant") was represented at the hearing by Stephen Topetzes of the law firm of Kirkpatrick & Lockhart and was represented prior to the hearing by Bruce I. Garfield, Investors