N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cla|nTantf$) Anthony R. LaMura 93-04341 Name of Resoondentfs) M. Rimson & Co., Inc. Damon Giro Cozzolino For Claimant: Joan Markey, Esq. For Respondent M. Rimson & Co., Inc.: Moe Rimson and Moishe Silver. The Respondent Damon Giro Cozzolino appealed pro se. CASE INFORMATION Statement of Claim filed: October 19, 1993. Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ivor A. and Linda B. Stoddard, Trustees for The Brandt Family Trust 93-04335 Name pf Respondents Shearson Lehman Brothers, Inc. Frederick Downes Iselin Reese McGregor Stidham, III The Robinson-Humphrey Company, Inc. REPRESENTATION For Claimants, Ivor A. and Linda B. Stoddard, Trustees for the Brandt Family Trust, appea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Geraldine De Nunzio 93-04328 Name of Respondents Martin Kopstein Harold Ahrens Kopstein Van Alen & Company Newbridge Securities Inc. REPRESENTATION For Claimant Geraldine De Nunzio ("Claimant") appeared Lynn Hanig, Esq. from the law firm of Lynn Hanig, P.C. located in Poughkeepsie, New York. For Respondents Martin K

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roberto and Charo Mendoza 93-04326 Name of Respondents Rickel & Associates Arnold Cohen REPRESENTATION Claimants Roberto and Charo Mendoza appeared pro se. For Respondent Rickel & Associates appeared Arnold Cohen and Anthony Franco. Respondent Arnold Cohen appeared pro se. CASE INFORMATION The Statement of Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patricia C. Wood 93-04319 Name of Respondents Barrett Day Securities, Inc., and Damon Hewlette REPRESENTATION OF PARTIES Claimant Patricia C. Wood ("Wood") was represented at the hearing by Christopher Q. King, Esq. of Sonnenschein, Nath & Rosenthal, Chicago, Illinois. Respondent Barrett Day Securities, Inc. ("Barrett") was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edmund P. and Cheryl B. Harrington Award No. vs. 93-04318 Name of Respondents E.F. Button & Company, Inc. Mark E. Routhier REPRESENTATION For Claimants, Edmund P. Harrington and Cheryl B. Harrington ("Claimants"), Deborah J. Bero, Esq., located in Norwood, Massachusetts. For Respondents, E. F. Hutton and Mark E. Routhi

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Kamran Niknejad, Claimant v. Morgan Stanley Dean Witter, Inc. and Alexander Plotkin Respondents Case Number: 01-02775 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Kamran Niknejad: For Respondents Morgan Stanley Dean Witter, Inc. and Alexander Plotkin: Stephen J. Riggs, Esq. Brady, Riggs & Ford Pasadena, California Todd E. Gordi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS mt Judith K. Marshman 93-04316 Merrill Lynch, Pierce Fenner & Smith REPRESENTATION OF PARTIES Claimant, Judith Marshman ("Marshman") was represented at the hearing by Paul J. Peralta, Esq. of Baker & Daniels, Respondent Merrill Lynch, Pierce Fenner & Smith ("Merrill Lynch") was represented at the hearing by David L. Lee, Esq. of the Law Offices of David L. Lee, Chicago, Illinois.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Narng pf Christen Brown NASD Arbitration No. 93-04309 Name of Resoondenls Merrill Lynch Pierce Fenner & Smith, Inc. George W.Hugh REPRESENTATION For Claimant: H. Thomas Fehn, Esq. - Fields, Fehn & Sherwin - Los Angeles, California For Respondents: Susan £. M. Rule, Esq. • Morrison & Foerster - Los Angeles, California CASE INFORMAT

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Melvin F. Cohen, M.D., P.C., Money Purchase Plan and Trust, and Melvin F. Cohen Profit Sharing Trust Claimants, v. No. 93-04303 Daniel K. Brinkel Respondent. REPRESENTATION OF PARTIES Claimants Melvin F. Cohen, M.D., P.C., Money Purchase Plan and Trust, and Melvin F. Cohen Profit Sharing Trust were represented by Stephen R. Levin, Esq. of Fa