NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Merrill Lynch Pierce Fenner & Smith Inc Michael W. Reese 96-04407 Name of Respondent Gregory C. Alexander Name of Third-Party Respondent Walter Michael Welsh CrairnahTrMerrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch") and MichaelW ; Reese ("Reese-) as well as Third-Party Respondent Walter Michael Wels

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas F. McKiernan 96-04406 Name of Respondent Armata Partners, L.P. REPRESENTATION For Claimant Thomas F. McKiernan ("Claimant") appeared Donald D. Brown, Jr.. Esq., of Spiegel, Brown, and Fichera located in Poughkeepsie, New York. For Respondent Armata Partners, L.P.("Respondent") appeared Keara M. O'DonneLl, Esq., of Piper

AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between Lawrence D. Ryan, Claimant, and No. 96-04403 Merriil Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. as plan sponsor, plan administrator, and as named fiduciary for the Merrill Lynch & Co., Inc. Salary and Benefit Continuation Policy and the Merrill Lynch & Co., Inc. Health Benefit Plan, Respondents. T7. ~ REPRESENTATIO

BWB-WOO 01 tffliMt FraHfASP AWARDS +2)2BU4141 T-044 P.tOt/OU F-72Q Award NASD Regulation, Inc. 10 ihe Matter of ihc Arbitration Between Name of f InJmanr Case No. 96*04402 Names of Respondents Nigel A. Ramsay William Rotfgers Sapemon Financial, Inc. Justus Russell Sackett. Jr. Conrad Hugh Laniz Willard B. Sapersron MarkBarbera John D. Morgan '->'BtiiiEst-M. Bush Ramsay. Rodgers &Lamz,Ir»c; , f 4^&&^ "-^^^ REPRESEN

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Mary Buchingnani, Claimant, v. 96-04401 -^Vining-Sparks IBG, Limited Partnership, Vining-Sparks Securities, Inc., and James Vining, Respondents. REPRESENTATION OF PARTIES Mary Buchingnani ("Claimant") was represented by Alan G. Crone, Esq., of Wilder, Crone, ,, fr ~ Johnston, Mason&.Goodwin, I?X.C., Memphis, Tennessee. . . ;

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Guennadi Razouvaev, Claimant, v. Schroder, Wertheim & Co., Inc., State Street Capita] Markets Corp., and Raymond E. Koza, Respondents, and No. 96-04398 State Street Capital Markets Corp., 'v.' Raymond E. Koza, Cross-Respondent. REPRESENTATION OF PARTIES Claimant Guennadi Razouvaev ("Claimant") was represented by Michael H. Du

FROM :CHICPIGO HRBITRRTION 31223E9239 1998,10-22 07IE2 ttG41P.02/06 AWARD NASD Regulation, Inc, Office of Dispute Resolution In the Matter of the Arbitration Between Dean Witter Reynolds, Inc., Claimant, v. No. 96-04396 Rauscher Fierce Refsnes, Inc., and Thome Robafin, Respondents. REPRESENTA^QN OF PARTIES Claimant Dean Witter Reynolds, Inc. was represented by Paul M. Green, Esquire of Lang, Ladon, Green, CogWan & Fisher located in San A

Second Amended Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James M. Ahlstedt, Jeffrey D. Franklin, and David Unsworth, Claimants v. Broadmark Capital Corporation, Stephen J. DeGroat, and Joseph L. Schocken, Respondents Case Number: 01-02144 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Anthony M, Englese, Esq. Law Offices of Anthony M. Englese San Francisco, California Patrick

AWARD In the Matter of the Arbitration Between Name of Claimants Howard Bloomberg, et al. Case No. 96-04394 vs. Name of Respondents D. Blech & Company, Inc. David D. Blech Mark R. Sherman REPRESENTATION For Claimants, Barnet Bloomberg, Howard Bloomberg, Seleciek, Inc., PDI, Inc. d/b/a Computers R ME, All Comp., etc. Repaired, Inc., Networking & Peripheral Distributing (PTY) Ltd., as successor in interest to Computing Distributors Int

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Chad Spencer, Claimant, and No. 96-04393 Michael Saunders, James Konaxis, and Charles Abrey, Respondents. REPRESENTATION OF PARTIES Spencer appeared pro se. . i, Mchael Saunders, James Konaxis, and Charles 'Abrey,were representec ,, . _ A. Murphy, Esquire of Oppenheirner & Company, Incorporated, located in New Yorj^yew Ydnc; r " \ CASE INFORMATI