NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Scnttsdale Securities, Tnc. and Russell r & Dinah TV PiVe NASD Case Number 93-04104 and Allen Snrev OF Claimant, Scottsdale Securities, Inc., and Third-Party Respondent, Allen Sorey, were represented by John C. Garavaglia, Esq. of Raskas, Ruthmeyer, Pomerantz, Wynne, Garavaglia & Susman, St. Louis, MO. Respondents, Russell C. and Dinah D.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Anthony N. & Alice D. Siciliano 93-04103 Name of Respondents A.G. Edwards & Sons, Inc. Gary Stark REPRESENTATION For Claimants: Adam S. Doner, Esq. and Lawrence Kiayman, Esq., of Davis, Gordon & Doner. P.A., West Palm Beach, Florida. For Respondents: M. Jane Matoesian, Esq., A. G. Edwards & Sons, Inc., St. Louis, Misso

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: HSBC Securities (USA) Inc. (Claimant) v. Seefield Investments, Joel Kaminer and Tracy E. Kruckenberger (Respondents) Case Number: 01-02799 Hearing Site: New York, New York Nature of the Dispute: Member vs. Non-Member and Associated Persons. REPRESENTATION OF PARTIES Claimant HSBC Securities (USA) Inc. ("HSBC") hereinafter referred to as "Claimant": Law Offices of Andr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Alarik J. and Willanetta H. Bakk 93-04099 Names of Respondents The Principal/Eppler Guerin & Turner, Inc. and John Wayne Ezell REPRESENTATION Claimants, Alarik J. and Willanetta H. Bakk were represented by Terrence M. Fruth, Esq. and Vincent D. Louwagie, Esq. of Fruth & Anthony, P.A., Minneapolis, MN. Respondent, The Prin

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant The Trustees of the Building and Construction Laborers Local Union 310 Pension Fund, Trustees of the Building and Construction Laborers Local Union 310 Health & Welfare Fund, and Trustees of the Building and Construction Laborers Local Union 310 Supplemental Unemployment Benefits Fund 93-04096 Na

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Francine Steinberg 93-04087 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 6, 1993, Claimant Francine Steinberg ("Claimant"), through her representative, Jill Levi, Esq., of Feltman, Karesh, Major & Farbman, locate

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas F. Healey 93-04077 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 6, 1993, Claimant Thomas F. Healey ("Claimant"), through her representative, Jill Levi, Esq., of Feltman, Karesh, Major & Farbman, located in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Use Siegler 93-04064 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 6, 1993, Claimant Use Siegler ("Claimant"), through her representative, Jill Levi, Esq., of Feltman, Karesh, Major & Farbman, located in New York,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David and Susan Kelly 93-04058 of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 5, 1993 Claimants David and Susan Kelly ("Claimants"), through their representative, Donald F. Schneider, Esq., of Feltman, Karesh, Major &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Clinton B. and Anita Clark 93-04054 Name of Respondents The Chicago Corporation and William P. Dugan Representation of Parties Claimants, Clinton B. and Anita Clark ("Claimants") were represented at the hearing by Peter J. Herman, Esq. of Peter J. Herman, Ltd., Chicago, Illinois. Respondent, The Chicago Corporation ("TCC")