AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Joyce James vs. Case Number: 05-04111 Hearing Site: Houston, Texas Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Joyce James ("Claimant") was represented by Bertrand C. Moser, Esq., Houston, Texas. Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent" or "Mer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Shirley Garsten 93-04940 Name of Respondents Shearson Lehman Brothers, Inc. Jeff Kaplan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 3, 1993, Claimant Shirley Garsten, who appeared Pro Se, alleged that upon the strong recommendation of Respondent Jeff Kaplan ("Kaplan")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DF.AT FRS. INC. la the matter of the Arbitration Between Name of Claimant Anthony S. Delfino NASD Arbitration No. 93-04928 Bear Stearns & Company Donald Kellen RFPRPSFNTATION For Claimant: William F. Davis, Esq. Pacific Palisades, California For Respondents: Alan B. Goldman, Esq. - Katten Muchin Zavis 8c Weitzman Los Angeles, California CASE INFORMATION Statement of Claim file

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. Case# vs. 93-04924 Name of Respondent James Spinner REPRESENTATION For Claimant, Dean Witter Reynolds, Inc. ("Claimant"), Mark Mancher, Esq., from the firm of Jackson Lewis Schnitzler Krupman. For Respondent, James Spinner ("Respondent"), Glenn B. Cruder, Esq., from the firm of Mars, Sloan & Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roger A. Feldman 93-04918 Name of Respondent The Chapman Co. REPRESENTATION For Claimant Roger A. Feldman ("Claimant"): Randolph C. Knepper, Esq. of the law firm of Levin & Gann, P.A., Baltimore, MD For Respondent The Chapman Co. ("Respondent"): Todd J. Horn, Esq. of the law firm of Venable, Baerjer and Howard, P.C., Baltim

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Name of Claimants Jeffrey E. Estes, Trustee Target Benefit Plan NASD Arbitration No. 93-04914 Name of Respondents Painewebber, inc. REPRESENTATION For Claimants: James C. Krause, Esq. • San Diego, California For Respondent: Catherine J. Pratt, Esq. - Painewebber, Inc. - Los Angeles, California CASE INFORMATION Statement of Claim filed: Novem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name W. Eugene Brain, DDS, P.S., Profit Sharing and Retirement Plan, W. Eugene Brain, Trustee NASD Arbitration No.93-04913 Name of Respondent;.'; Kidder, Peabody & Co., Inc. Newell C. Bossart REPRESENTATION For Claimant: Jack G. Orr, Esq., Harris, Orr & Wakayama, Seattle, Washington For Respondents: William N. Phelps, Esq., Kidder

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Heather Campbell and 93-04909 Name of Respondents Dean Witter Reynolds, Inc., Robert Magel REPRESENTATION OF PARTIES Heather Campbell ("Claimant") was represented by Gerald L. Bader, Esq and Renee B. Taylor, Esq., Bader & Villanueva, P.C., Denver, Colorado. Dean Witter Reynolds, Inc. and Robert Magel ("Respondents") were

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Al A. Simmons & Vincent A. Dagys 93-04905 Name of Respondents Merrill Lynch, Pierce Fenner & Smith Inc., Jon M. Fletcher Claimants Al A. Simmons ("Simmons") and Vincent A. Dagys ("Dagys") were represented at the hearing by Kenneth F. Berg, Esq. of Chicago, Illinois. Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. ("Merrill Lynch") and Jon M.

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Lawrence S. Zombek Case No. vs. 93-04902 Name of Respondents Prudential Securities Inc James Baroutas REPRESENTATION For Claimant, Lawrence Zombeck ("Claimant"), Paul M. Wrubel, Esq. from the law firm of Holienberg Levin Solomon Ross & Belsky, located in Garden City., New York. For Respondents, Prudential Securities Incorporated ("Prudential") and J