N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DF.AI.F.RS. INC. In the matter of the Arbitration Between Name of Claimant Robert M. Gromis, M. D., P. C. Name of Respondent Fidelity Investments NASD Arbitration No. 93-03315 REPR ESENTATIQN For Claimant:Bette Gromis, Esq. - Los Angeles, Ca. For Respondent:In Pro Se CASE INFORMATION Statement of Claim filed:August 24, 1993 Claimant's Submission Agreement signed: May 27, 1993

NASD Arbitration No. 93-03382 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant: (s) Barbara Spriggs Name of Respondent(s) Shearson Lehman Hutton Inc. Richard Russo REPRESENTATION For Claimant: Barbara Spriggs, Alt a Loma, California For Respondents: Paul M. Foster, Esq., Smith Barney, Inc., Sherman Oaks, California CASE INFORMATION Statement of Claim fil

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS rH Victor H. Goulding 93-03380 Name of Respondents Gruntal & Co . , Inc . and Marcial Chiong REPRESENTATION OF PARTIES For Claimant at the hearing: Randall S. Goulding, Esq., Chicago, Illinois. For Respondent, Gruntal & Co., Inc. at the hearing: Eric S. Hunter, Esq. of Gruntal & Co., New York, New York. For Respondent, Marcial Chiong, not present at the hearing: Pro Se. CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants The City of San Marino The City of Lawndale The City of Palmdaie The Community Redevelopment Agency of the City of Palmdaie NASD Arbitration No. 93-03374 Name of Respondents E.F. Hutton & Co., Inc. Shearson Lehman Brothers, Inc. Richard Alan Lavery Frederick W. Parodi Name of Third Party Claimant

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ann F. Cogswell and 93-03370 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Ben D. Trevor REPRESENTATION OF PARTIES Ann F. Cogswell ("Claimant") was represented by John M. Cogswell, Esq., Denver, Colorado. Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent MLPF & S") and Ben D. Trevor ("Respondent Trevo

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Malta- of the Arbitration Between BARBARA GOLDSTEIN, Claimant, v. NASD No. 93-3368 RICHARD CARSON and GREAT AMERICAN SECURITIES. INC., Respondents. Representation For Claimant: Edward Russey, Esq. of Investors Arbitration Services, Woodland Hills, CA For Respondent Richard Carson and Great American Securities: Richard Pech, Esq. and Neil Anapol of Law Offices of Richard Pech, Los An

N.A.S.D. AWARD • NATIONAL ASSOCIATION OF SECirRTTTCS DFAJ,ERS. INC. In the matter of the Arbitration Between Name Qf (Claimant Alfred R. Willinger NASD Arbitration No. 93-03314 Name of Respondents Cruttenden & Company Tibor Komoroczv REPRESENTATION For Claimant: Paul W. Thomas, Esq. - Carlsbad, California For Respondents: John R. Loftus, Esq. - Keesal Young &'Logan • Long Beach, 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 Robert J. Dwyer, Sr. 93-03313 Name of Respondents Gilford Securities, Inc. Ralph Worthington CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 24, 1993, Claimant Robert Dwyer, Sr., who appeared Pro Se, alleged that Respondents Gilford Securities, Inc. and Ralph Worthington dis

N.A.S.O. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS Janet McKinney, Claimant, v. No. 93-03311 Merrill Lynch, Pierce, Fenner & Smith, Inc., and James Roy Schellinger, Respondents REPRESENTATION OF PARTIES For Claimant Janet McKinney ("Claimant"): Clark W. Mason, Esq., and , Esq., and Gary Barkett, Esq., of the Davidson Law Firm, LTD., Little Rock, Arkansas. For Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jame

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In ige Matter of the Arbitration Between Rodney Rush Claimant, v. NASD No. 93-3310 Gruntal and Company, Inc. and Mark Sitzer, Respondents. Representation For Claimant: Robert Biegler, Esq. of He&er, Stark & Marois, Sacramento, California For Respondents: Emilia De Meo, Esq. of Gruntal & Company, New York, New York Case Information Statement of Claim filed: August 18, 1993 Claimant'