N.A.S.D. AWARD / / NATIONAL ASSOCIATION OF SECURITIES DEALERS / la the Matter of the Arbitration Between Name of Claimant^ Margie Kolos 96-01240 Name of Respondent^ Gruntal&Co.,Inc. David M. Newman REPRESENTATION Claimant Margie Kolos ("Kotos") was pro sg, For Respondents Gmntal & Co., Inc. ("GruntaT) and David M. Newman ("Newman"): Scott Diamond, Esq. of Morgan, Lewis & Bockius, Miami, Fl. CASE INFORMATION Statement of Claim

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Basil E. Karampelas 96-01238 Name of Respondent Wasserstein Perella & Co., Inc. REPRESENTATION For claimant Basil E. Karampelas ("claimant") appeared Daniel E. Katz, Esq. of the law firm of Pressman & Associates located in New York, New York. For respondent Wasserstein Perella & Co., Inc. ("respondent") appeared Jill L. Rosenberg, Esq. of the law firm of Orrick

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Deborah Werrlein 96-01235 Name of Respondents Raymond James & Associates, Inc. William L. Specht REPRESENTATION For Claimant: Michael H. Alden, Esq. of the law firm of Fisher & Sauls, P. A., St. Petersburg, FL. For Respondents: Michael R. Alford, Esq., in-house counsel at Raymond James & Associates, Inc. ("Raymond James

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeffrey G. Moore, TTEE/Maintenance Trust 96-01234 Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION For Claimant, Jeffrey G. Moore, TTEE/Maintenance Trust ("Claimant"), appeared Steven D. Uslaner, Esq., of the law firm Littman, Krooks & Roth, P.C. located in New York, New York. For Respondent, Charles Schwab & Co

N.A.S.D. AWARD \ATfO.VAL ASSOCIATION OF SECURITIES DEALERS In rht- Matter of the Arbitration Between Name of Claimant Bctt\ Skima NASD Case No. 96-01233 Name of Respondent Eric Lee Ellenhorn REPRESENTATION For Claimant Betty Slama ("Siama") appeared Ralph A. Gant, Esq., New York, NY. For Respondent Eric Lee Elienhorn ("Ellenhorn") appeared Stuart Halper, Esq., Briarcliff Manor, NY. CASE INFORMATION Statement of Claim filed on March 1

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Karen Antos 96-01231 Name of Respondents A.J. Michaels & Co., Inc. James A. Romanosky REPRESENTATION Claimant Karen Antos ("claimant") appeared Pro Se. For respondent A.J. Michaels & Co., Inc. ("AIM") appeared W. Hubert Plummer of the law firm Plummer & Plummer, LLP located in Hauppauge, Ne

Awara NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant UBS PaineWebber Inc. Case No, 01-01183 Names of Respondents Legg Mason Wood Walker, Inc. Glenn E. Brandon, Jr. REPRESENTATION OF PARTIES For UBS PaineWebber Inc. ("PaineWebber"), hereinafter referred to as "Claimant": L. Andrew Brehm, Esq. of Schuyler, Roche & Zwirner, Chicago, Illinois and Lee H. Zell, Esq. of Balch & Bingham, Birmingham, Alaba

NASD REGULATION. INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Kanan and Gail Saib 96-01229 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc. REPRESENTATION Claimants, Kanan and GaiJ Saib ("Claimants") appeared pro-se. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent"), appeared in-house counsel, Marianne Bretton-Granatoor, Esq. of Merrill Lynch, Pierce, Fenner &

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimantfs) Saguaro Asset Holding I Name of Respondentfs) BA Investment Services, Inc. Arbitration No. 96-01222 RE PRES ENTATION For Claimant: Ralph D. Davis, Las Vegas, Nevada For Respondent: Diana L. Sullivan, Esq./ Jones Vargas, Las Vegas, Nevada CASE INFORMATION Statement of Claim filed on or about: March 20, 1996 Supplement to Claim filed on or

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Diane Chidester Arbitration No. 96-01220 Name of Respondent(s) Smith Barney Inc. Reid Cuthbert REPRESENTATION For Claimant: Diane Chidester, Ogden, Utah For Respondents: Etta M. Gumbs, Esq., Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: June 24, 1996 Supplement to Statem