N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael P. Hegarty Case# vs. 93-00276 Name of Respondents James Messenger Leonard Rush Jeffrey Larsen Richard C. Payson S. Allan Williamson Richard Scafidi Greg Stuart National Financial Services Corporation Financial Securities Network, Inc. Peter S. Lawrence REPRESENTATION Claimant, Michael P.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Scott H. Sweigart 93-00243 Name of Respondents J.W. Gant and Associates, Inc. Brian Sorentino Bradley Duppong Frank Louis Palumbo Sandra Lee Solomon Mark Allen Lathrop Salvatore Anthony Venezia Craig Wilson REPRESENTATION For Claimant, Scott H. Sweigert ("Sweigert"): Patricia A. Shub, Esq. of Fort Lauderdale, Florida. Fo

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants John and Donna Yankoviz 93-00186 and Name of Respondents Hamilton Investments, Inc.; Robert G. Lorente; Kom, Womack Stem & Associates, Inc.; and Dana Field REPRESENTATION QF PARTIES John and Donna Yankoviz ("Claimants") were represented by James P. Murphy, Esq. of Berry, Moorman, King & Hudson, located in Detroit

(Jtf N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants) Ermyas Amelga NASD Arbitration v. No. 93-00178 Narne of Respondents) Kidder, Peabody & Co., Inc. REPRESENTATION For Claimant: Barry B. Kaufman, Esq., Los Angeles, California For Respondent: William H. Phelps, Esq., Kidder, Peabody & Co., Inc., Los Angeles, California CASE INFORMATION Statement o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nariie of Claimant Jerome Eckenthal, Substitute-Trustee for the Testamentary Trusts of Carl L. Schweinler, Sr. and the Inter Vivos Trusts created by Anna T. Schweinler 93-00168 Name of Respondent Smith, Barney, Harris, Upham & Company, Inc. For Claimant Jerome Eckenthal, Substitute-Trustee for the Testamentary Trusts of Carl L. Schweinler,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patti D. Donner 93-00167 Name of Respondent Advest, Inc. REPRESENTATION For Claimant, Patti D. Donner ("Donner"): pro se. For Respondent, Advest, Inc. ("Advest"): William C. Freitag, Esq. of Advest, Inc.. CASE INFORMATION Statement of Claim filed on January 12,1993. Claimant's Submission Agreement signed on January

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jon and Karen Rosen Case vs. #93-00164 Name of Respondents Shearson Lehman Brothers, Inc. Gruntal &Co., Inc. Steven J. Waldman REPRESENTATION For Claimants, Jon and Karen Manno Rosen ("Claimants"), Sandor Frankel, Esq. from the law firm of Frankel & Abrams, located in New York, New York. For Respondent, Shearson Le

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Marion D. Sherrill Thomas Diggs, Jr. Michael J. Price Jec J. Cooper 93-00090 Name of Respondents) Prudential Securities Inc REPRESENTATION For Claimants: Gerald B. Kline, Esq., of the law firm of Gerald B. Kline, P.C., Atlanta, GA; Melvin L. Hewitt, Jr., Esq., of the law firm of Isenberg and Hewitt, P.C., Atlanta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John F. Flannery Case # vs. 93-00079 Name of Respondents Shearson Lehman Brothers, Inc. Samuel Paul Crabtree Bruce G. Spence REPRESENTATION Claimant John F. Flannery ("Claimant"), was represented by Frederic N. Halstrom, Esq., from the law firm of Halstrom Law Offices, P.C. located in Boston, Massachusetts. Resp

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. ? CASE: 01-02556 Diana E. Michaels, claimant vs. Stephen R. Beloff and Merrill Lynch, Pierce, Fenner & Smith, Inc. respondents. ATTORNEYS: Claimant appeared pro se, East Rutherford, NJ. For Respondents appeared Christopher D. Cavuoti, Esq., in-house counsel, New York, NY. DATE FILED: May 15, 2001 CASE SUMMARY: Claimant alleged respondents recommended unsuitable investments and faile