NASD DISPUTE RESOLUTION @003/007 Stipulated Award NASD Dispvte Resolution In the Matter of tie Arbitration Between: f>«» Mi^ty-r- 01-02842 Dino Vona Monti Vona ite: Philadelphia, PA Robert A. Johnson Charles Walker Metrin Lynch, Pierce, Feuner and Smith, inc. Claimants, Dino and Nanci Vona ("Claimants"), were represented by Steven M. DranofE Esq., Attorney at Law, Philadelphia, Pennsylvania and Nicholas J. Galliano, Esq., Attorney at Law

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John E. McGowan 93-04901 Name of Respondent Leslie Charles Magmder CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 29, 1993, Claimant John E. McGowan, who appeared Pro Se, alleged that Respondent Mr. Leslie Charles Magruder, who was employed by Olde Discount Corp., failed to t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IT »i:e matter of the Arbitration Between Name of Claimant S. David Airfield NASD Arbitration No.93-04900 Name of Respondents Estate of Henry G. Beam, in Helix Securities, Inc. REPRESENTATION For Claimant: Arthur L. Stern, Esq., Katz, Kutter, Haigler, Alderman, Marks & Bryant, P.A., Tallahassee, Florida For Respondents: Jeffrey L. Silvestrini, Esq., Cohne, Rappaport & Se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dennis Dawes 93-04899 Name of Respondent Steven Petney REPRESENTATION For Claimant: Stanley T. Padgett, Esq. of the Law Offices of Padgett & Mierzwinski, P.A., Tampa, FL. For Respondent: Michael Q. Carey, Esq., New York, NY. CASE INFORMATION Statement of Claim filed: November 29, 1993. Claimant's Submission Agreemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of (Claimant Sandra Morin vs. NASD Arbitration No.93-04891 Name of Respondent Prudential Securities Incorporated Ricardo Miller REPRESENTATION For Claimant: Jack G. Orr, Esq., Harris, Orr & Wakayama, Seattle, Washington For Respondent: WilliamM. Cassarini, Esq., Prudential Securities, Incorporated, New York, New York CASE

JUN.E9.1999 ll'49ftM NftSD BOCR N0.757 P.2 '- v : N.A.S.DJL SHPULATBD AWARD NATIONAL ASSOCIATION OF SECtWITES DBAXJEBS • In the Mitter of the AiWtnttoe Between PjwteotialSocimtiMlac 93-04890 For n rfr t irtt l Itadcottal SccofitiM, Inc. ("KndtotU") Jack StcoOi Bu, M^I Gtry.M. Miffftf €* Stoi&t RoMdbflfg ft Winftuff, Foit LwdcnblO) For gfftpondent, Ron Applcoun ('Apptenin*): Robert O. Bkite, If., Baq. of Fl«nlnf >

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name qf riainiant PBA of the New York State Troopers, Inc. 93-04888 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Thomas J. Gerber For Claimant appeared Richard L. Burstein, Esq. of Fernandez & Burstein, P.C., Albany, New York. For Respondents Merrill Lynch Pierce Fenner & Smith Inc. and Thomas J. Gerber appeared Howard Meyers, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 93-04880 Name of Respondent Brian M. Gordon CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on November 24, 1993, Claimant, Prudential Securities, Inc. ("Claimant"), through its representative, Robert Meyer, Esq., in-house counsel, located in San Francisco,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Norman W. Schur Trust, Joanna Weber and Warren M. Schur as Trustees 93-04879 Name of Resoondentfs') Kidder, Peabody & Co., Incorporated James P. Dolan, Jr. For Claimant: Warren M. Schur, Esq. of the law firm of Heller, Borreliz and Kate. For Respondents: Brian F. McDonough, Esq. of the law firm of Shanley and Fish

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Richard C, Bentley 93-04874 PaineWebber Incorporated; Frederick Duncan; Grover Miller; James R. Frayard; Ronald Peck; JoArtn Dohanich. REPRESENTATION For Claimant/CounterrRespondent: Richard C. Bentley ("Bentley") was represented by Victor L Versaggi, Esq. of Lafayette, Louisiana, and Stephen H. Myers, Esq., of Roy, Forrest,