Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Walter Bockmayer and Werner Josef Buehrmann, JTTEN Names of the Respondents Morgan Stanley Dean Witter, Inc. Gail J. Atterman Donald Lockshin Case Number: 01-02514 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES For Walter Bockmayer and Werner Josef Bu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Judith Abouchar 92-03720 Name of Respondents) Merrill Lynch Pierce Fenner & Smith Inc George S. Jobson REPRESENTATION For Claimant Judith Abouchar: David B. Bacon, Esq. of the law firm of Archer and Greiner, Haddonfield, NJ. For Respondents Merrill Lynch, Pierce, Fenner and Smith, Inc. and George S. Jobson: Michael E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith Inc 92-03719 Name of Respondents Edward H. Bruske Megan Smith-Bruske (n/k/a Megan Smith) REPRESENTATION For Claimant Merrill Lynch Pierce Fenner & Smith Inc (referred to as "Claimant" or "Merrill Lynch"): Jeffrey P. Bloom, Esq.of the law firm of Metzger, Hollis, Gordon & Mortimer. For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrill Lynch. Pierce Fenner & Smith Inc 92-03715 Name of Respondent Joel A. Nelson For Claimant at the hearing: Eileen McNerney, Esq. of Merrill Lynch Pierce Fenner & Smith. Inc., New York, New York. For Respondent at the hearing: James H. Kaster, Esq. of Nichols Raster & Anderson, Minneapolis, Minnesota. CASE INFORMATION

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ruth R. Allen, TTEE/Ruth R. Allen Trust 92-03714 Name of Respondents Prudential Securities Inc Marilyn Katatsky CASE SUMMARY . . . . . . . . . . . In a claim filed with the National Association of Securities Dealers, Inc. on November 3, 1992, Claimant Ruth R. Allen TTEE, wh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant: Paragon Capital Corp. 92-03713 Names of Respondents: David L. Weintraub Lew Lieberbaum & Co., Inc. Brian Clendenin Jay Israel Leonard Neuhaus REPRESENTATION For Claimant, Paragon Capital Corp. ("Paragon"): David S. Smith, Esq., of Smith Campbell & Paduano, New York, New York. For Respondent, David L. Weintraub

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lawrence Kalkstein Case# vs. 92-03703 Name of Respondents Phillips Appel & Walden, Inc. Michael Woloshin Joseph Xerri Richard Fletcher Robert Trause John Henry Starr Richard Mark Engelhardt REPRESENTATION For Claimant, Lawrence Kalkstein, appeared Joan M. Markey, Esq., a sole practitioner, located in New

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Herbert L. Bebar & Sara Bebar, Trustees 92-03699 Name of Respondent Fidelity Brokerage Services, Inc. For Claimants, Herbert L. Bebar and Sara G. Bebar. pro se. For Respondent, Fidelity Brokerage Services, Inc. ("Fidelity"): Kenneth J. McDonald, Esq. of Fidelity CASE INFORMATION Statement of Claim filed on: October 30, 192

N.A.S.D. AWARD P'mi I0 « oCulL NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Margo L. Daniel 92-03696 Name of Respondents Charles Schwab & Company, Inc. Anne Nichols CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 2, 1992, Claimant Margo L. Daniel who appeared Pro Se, alleged that on July 16, 1992 she called the Dallas offic

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant and Counter-Respondent Refco Securities, Inc. v. Arbitration No. 92-03685 Name of Respondent and Counter-Claimant City of Orange REPRESENTATION For Claimant: Scott E. Hershman, Esq. Graubard, Mollen & Miller New York, New York For Respondent: Michael Willoughby, Esq. Borchard & Willoughby Irvine, California