N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Abraham Adhanom 92-02880 Name of Respondents) Lee Catineau David Dalton REPRESENTATION Claimant, Abraham Adnanon ("Claimant") was not represented by counsel. For Respondents, Lee Catineau ("Catineau") and Dave Dalton ("Dalton"), John R. Blake, Esq. from the law firm Bowditch & Dewey. CASE INFORMATION Statement of C

~ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Lynn H. Bellisaiio vs. NASD #92-02874 f Resondent Steven A. Seffrcn RJEEBES£MIAlIQ£f For Claimant: Lynn Bellisario For Respondents: Steven Seffrcn (did not appear at hearing) CASE INFORMATION Statement of Claim filed: August 26, 1992 Claimant's Submission Agreement signed: August 18, 1992 Statement of Answer filed by Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: r- 01-02439 Janet H. Helseth and C. Bryan Harwell, As Co-Executors of the Estate of Virginia B. Edwards nf tVip Hiring S^ ffv Nashville, Tennessee J.J.B. Hilliard, W.L. Lyons, Inc.; PNC Bank Corp.; PNC Financial Services Group, Inc.; and PNC HL Holding Corp. PF.PPF.SF.NTATTON OF PAPTTF.S Claimants Janet H. Helseth and C. Bryan Harwell, As Co-Executors

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between AWARD #92-02872 Charles E. Cresap Claimant vs. Raymond James & Associates, Inc. Diane Dubose Respondents CASE SUMMARY In the claim filed with the National Association of Securities Dealers, Inc. on August 26, 1993, Claimant Charles E. Cresap who appeared Pro Se, alleged that Respondent Diane Dubose, while employed by the Respondent firm R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bernice Lirosi Case # vs. 92-02871 Name of Respondents Cowen & Company Brookehill Equities, Inc. Robert DeRose REPRESENTATION For Claimant, Bernice Lirosi ("Claimant"), Dan Druz, Esq., located in Point Pleasant, New Jersey. For Respondent, Cowen & Company ("Cowen"), Daniel J. Donovan, Esq., in-house counsel, loc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name or" Claimant(s) Christine L. Adamow 92-02866 Name of Respondent s) GKN Securities Corporation Bryan D. Orjuela REPRESENTATION Claimant appeared pro se. For Respondents GKN Securities Corp. and Bryan D. Orjuela: David Smith. Esq. of Smith Cambell & Paduano. CASE INFORMATION Statement of Claim filed: August 24, 1992. Claimant

N.A.S.D AWARD RATIONAL ASSOCIATION OF SECURITIES DEALERS ••> In the Matter or the Arbitration Between Name of Claimants Sheen Financial Resources. Inc. Brian J. Sheen 92-02865 Name of Respondent Financial Institution Clearing Services For Claimants, Sheen Financial Resources, Inc. ("SFRI") and Brian J. Sheen ("Sheen"): pro se. For Respondent. Financial Institution Clearing Services ("FICS"): Gregory Tendrich, Esq. of Financial Instit

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Irwin V. Frankel Claimant v. NASD No. 92-2864 Bear Stearns & Co., Inc. and Jonathan Fink Respondents Representation For Claimant: Peter Kindem, Esq. of Berman, Blanchard, Mausner & Kindem of Los Angeles, CA For Respondent Bear Steams: Steve Goldberg. Esq. and Anthony Pacheco, Esq. of McCambridgc, Deixler, Marmaro & Goldberg of Los Angeles, CA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Beverly Van Cott vs. 92-02855 Name of Respondents A.G. Edwards & Sons, Inc. Fred Corfee For Claimant: Beverly Van Cott ("Claimant") represented herself. For Respondent: A. G. Edwards & Sons, Inc. ("A.G. Edwards"); Clay L. Grumke, Litigation Counsel at A. G. Edwards. For Respondent Fred Corfee ("Corfee"): Peter R. Boutini, 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 92-02849 Name of Respondents Fuel Systems. Inc. RHM Investments. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on August 24. 1992. Claimant Merrill Lynch. Pierce. Fenner & Smith. Inc.. by and through their counsel A. Michael Ferrill.