PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between . ; :•* • • NaajeofCbimant •" p -^^\^?^\^^^^^^.' • PaulRaucci 92-04299 Name MerriD Lynch Pierce Feaner ft Smith, Inc. Robert Dulin CASE SUMMARY to t claim filed with the National Association of Securitk* Deakn, Inc. on December 28,1992, Claimant Paul Rancri, who appeared Pro Se, alleged that in 1986 Reapondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel J. Trierweiler 92-04297 Name of Respondent Martin H. Corsberg For Claimant: Jacqueline D. Scott, Esq. of Varnum, Riddering, Schmidt & Hewlett. For Respondent: Clifford L. Neuraan, Esq. of Neuman & Cobb. CASE INFORMATION Statement of Claim filed: December 23, 1992. Claimants' Submission Agreement signed on: Decemb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Dean Witter, Inc., (Claimant) vs. Thomas Boone, (Respondent) Case Number: 01-02551 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Morgan Stanley Dean Witter, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent, Thomas Boone, hereinafter referred to as "Respondent": Roger A. Serruto, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Geoffrey Morrow 92-04296 Name of Respondents Jersey Capital Markets Group, Inc. John T. Booth Thomas Martin For Claimant, Geoffrey Morrow ("Morrow"): Shenie B.Marcus, Esq. of Marcus & Associates, P.A., Miami, Florida. For Respondent, Jersey Capital Markets Group, Inc. ("Jersey"), and John T. Booth ("Booth"): Thomas A. R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name flf Claimants George Truman Ward and Margaret H. Ward 92-04293 N L ajTjf o/ Reyson dents Dean Witter Reynolds Inc. Scott H. Son REPRESENTATION For Claimants George Truman Ward and Margaret H. Ward ("Claimants"): {Catherine H, Kalinowski, Esq. of the law firm of Baber & Kalinowski, P.C. Fairfax, VA For Respondents Dean Winer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary Foster, as representative of the Estate of Leslie H. Smith 92-04292 Nflme qf Respondents Titan/Value Equities Group, Inc.; Alan Roget REPRESENTATION For Claimant/Counter-Respondent: Mary Foster ("Foster"), as representative of the Estate of Leslie H. Smith ("Smith") was represented by Clinton W. Marrs, Esq. of Kemp, Sm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Chariene P. Mendoza 92-04291 Name of Respondents Prudential-Bache Securities Inc. Robert L. Gorman For Claimant: Chariene P. Mendoza ("Mendoza"): Joel Goodman, Esq. of Goodman and Nekvasil. For Respondents: Prudential-Bache Securities, Inc. ("Prudential") and Robert L. Gorman ("Gorman"): Mark Dobin, Esq. of Boose Casey Cikl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary J. Eandola 92-04288 of Respondents Rickel & Associates, Inc. Ken Rickel Milton Hirsch For Claimant Mary J. Eandola ("Claimant"): Dan A. Druz, Esq., of the law firm of Caron and Koffler, Point Pleasant, New Jersey. For Respondents Rickel & Associates, Inc. ("Rickel") and Ken Rickel ("Mr. Rickel"): Seth Taube, Esq. a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donna L. Marvin 92-04285 Name of Respondents Kidder, Peabody & Co., Incorporated Shearson Lehman Brothers, Inc. Steven Siegel Adrian R. Verzaal REPRESENTATION For Claimant, Donna L. Marvin ("Marvin"): Robert H. Rex, Esq. of Dickenson, Murdock, Rex and Sloan, Boca Raton, Florida. For Respondents, Kidder, Peabody & Co

__ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECimTTTFS DEALERS. INC. In the matter of the Arbitration Between Name nf Claimant Myrone D. Reichman Namg pf Respondents NASD Arbitration No.92-04276 Shearson randan Brothers, Inc. Michael Heir REPRESENTATION For Claimant: Bruce A. Miller, Esq., Mecairie, Louisiana For Respondents: Neil A. Sussman, Esq., Smith Barney Shearson, Inc., New York, New York CASE INFORMATION Statement of Cl