N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS _ PI1R1 1C In the Matter of the Arbitration Between Name of Claimant! s) Diana P. Penney 92-03580 Name of Resoondent(s) Advest, Inc. Avard Dow, Sr. For Claimant Diana P. Penney: Andrew M. Horton, Esq. of the law firm of Verrill & Dana. For Respondents Advest, Inc. and Avard Dow: Laurence H. Leavitt, Esq. of the law firm of Friedman & Babcock. CASE INFORMATION S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant CMB Realty Rust, Trustees E. Colangelo, R. Maloney et al. vs. Case » 92-03578 Name of Respondents The First Boston Corporation Brian O'Rouke REPRESENTATION For Claimants. CMB Realty Trust, Trustees E. Colangelo, R. Maloney et al ("Claimants"), Richard M. Gelb, Esq., from the law firm of Gelb & Gelb. For Respondent. The

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name_of Claimant Gayle E. Brookfield 92-03573 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Joe Vazza David Sims Michael Zirpolo Fred Mitchell Claimant Gayle E. Brookfield ("Claimant") represented herself. For Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("MLPFS"), Joe Vazza ("Vazza"), David Sims ("Sims"), M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Valentina Litvinova (Claimant) v. Prudential Securities, Inc. (Respondent) Case Number: 01-02482 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Valentina Litvinova ("Litvinova") hereinafter referred to as "Claimant": Michael P. Meliti, Esq., Alampi, Arturi, D'Argenio & Guaglardi, LLP, Englewood Cliffs, NJ. Resp

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitracion Between Name cf Claimant John Denes 92-03563 Name of Respondent PaineWebber, Incorporated REPRESENTATION For Claimant: Richard A. Meier, Esq. a sole practitioner. For Respondent: Nanette L. Korpi, Esq. of Haliw, Siciliano and Mychalowych. CASE INFORMATION Statement of Claim filed: November 23, 1993. Claimant's Submission Agreement sig

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michelle Davis Schoenberger Carl I. Schoenberger 92-03562 Name of Respondents PaineWebber, Inc. Raymond B. Harrison REPRESENTATION For Claimant Michelle Davis Schoenberger and Carl I. Schoenberger ("Claimants"): Carl I. Schoenberger For Respondents PaineWebber, Inc. and Raymond B. Harrision ("Respondents"): Paul G.

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between e o Cima Thomas and Susan Addario 92-03549 Name of Respondent Peter BUI REPRESENTATION For Claimants: Thomas and Susan Addario appeared pro se. For Respondent: Peter Bill appeared pro se. CASE INFORMATION Statement of Claim filed: October 19, 1992. Claimants' Submission Agreement signed on: October 14, 1992. Statement of Answ

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Owen Brown, Individually and as Trustee for the Owen I. Brown & Associates Defined Benefit Pension Plan NASD Arbitration No.92-03536 Name of Resppndent(sJ Financial West Group Nancy Catherine Estrada John P. WiUoughby Donald Brooks James Anderson Gene Valentine For Claimants: Lionel Z. Clancy, Esq., Santa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant American Board of Examiners in Clinical Social Work 92-03531 Name of Respondent Kidder, Peabody & Co., Incorporated REPRESENTATION For Claimant American Board of Examiners in Clinical Social Work ("Claimant"): Samuel M. Forstein, Esq. of the law firm of Covington & Burling. For Respondent Kidder, Peabody & Co., Inc.: Th

PUBLIC ' N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David E. Areen 92-03520 Name of Respondents Geneva Securities, Inc. Leroy Messenger CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 16, 1992, Claimant David E. Areen who appeared Pro Se, alleged that Respondent Geneva Securities, Inc. and Leroy Messenger caused