N.A.S.D. AWARD NATIONAL ASSOCIATION OF < rECURITTFS DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Alexander Co. vs. NASD Arbitration 93-03164 Name nf Respondent F.N. Wolf & Co., Inc. Matthew Michael Simi REPRESENTATION For Claimant: Bruce Garfield, Investors Arbitration Services, Inc., Woodland Hills, California For Respondent: Alvin L. Fishman, Esq., Tesler, Sandmann & Fishman, San Francisco, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Andrew T. Miltenberg Bruce Miltenberg 93-03161 Name of Respondents Shearson Lehman Brothers, Inc. Wedbush Morgan Securities Brooklyn Capital & Sec. Trading Inc. Johnson, McKenney & Carr Securities Inc. Lloyd Beirne James Carroll David Rybstein REPRESENTATION For Claimants Andrew T. Miltenberg (hereinafter r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Vincent Mure Award No. vs. 93-03160 Name of Respondents Escalator Securities, Inc. GSG Global Securities Group John J. Kier Douglas R. Benz Lawrence R. Munck Mark Simon Keith Buscemi REPRESENTATION Claimant, Vincent Mure ("Claimant"), appeared pro se. For Respondent, Escalator Securities, Inc. ("ESI"), L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alice and Jill Wolk 93-03159 Name of Respondent Muriel Siebert & Co., Inc. For Claimants Alice and Jill Wolk ("Claimants"): Stephen Lissberger. For Respondent Muriel Siebert & Co., Inc. ("Respondent"): Nicholas Dermigny. CASE INFORMATION Statement of Claim filed: August 11, 1993. Claimants' Submission Agreement signed on

Award NASD In the Matter or the Arbitration Between: Name of the Claimant Case Number: 01-02659 Gary W. Lavigne IRA Names of the Respondents Hearing Site: Tampa, FL. Lee Alexander Fisher American Investment Services, Inc. REPRESENTATION OF PARTIES For Gary W. Lavigne IRA ("Lavigne"), hereinafter referred to as "Claimant": Thomas F. Shine, Esq. Melbourne, FL. and Christopher T. Vernon, Esq., Treiser, Collins & Vernon, Chtd., Naples, FL., unti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Zhuang Li Cai & Chung Shui Man Name of Respondents Chatfield Dean & Co., Inc. Frank L. Laudano 93-03158 Raymond John Acciardo, Sr. Alan Dillan Name of Third Party Respondents JohnHarth David Gurievsky Cheryl Bauman REPRESENTATION For Claimants Zhuang Li Cai and Chung Shui Man ("Claimants") appeared Zhuang L

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Amerstock Corporation Claimant v. NASD No. 93-03156 John L. Neill, Dorothy W. Neill, and the Neill Trust DTD 11/4/67 Respondents Representation For Claimant: Irving Einhorn, Esq. of Einhorn & Edgerton, Los Angeles, California For Respondents: James Krause, Esq., San Diego, California Case Information Statement of Claim filed: August 4, 1993

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Kenneth E. Rawald Marie Rawald Name of Respondents Prudential Securities, Inc. William Young REPRESENTATION NASD Arbitration No. 93-03155 For Claimants: Jeff Dennis Ferentz, Esq., Greenbaum & Ferentz, Newport Beach, California For Respondents: Joel Levinson, Esq., Prudential Securities, Inc., New

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thelma Kammer 93-03153 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Geraldine Beaudin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 12, 1993, Claimant Thelma Kammer, through her representative, Robert M. Roth of RM Roth & Associates, Thousand Oaks, CA, a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hampshire Securities Corp. Case No. vs. 93-03150 Name of Respondent Pamela Spence Murray REPRESENTATION For Claimant, Hampshire Securities Corp. ("Claimant"), Aegis J. Frumento, Esq. located in New York, New York. Respondent, Pamela Spence Murray -("Respondent"), represented herself at the hearing. CASE INFORMATION