NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Susan DeLand 95-02946 Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. JohnM. Cornell, III James Rintoul REPRESENTATION For Claimant Susan DeLand ("Claimant") appeared Barry J. Wendt, Esq., a private practitioner located in Audubon, New Jersey. For Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch"), John M. Conncll, II

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Atlantic Securities & Capital Mgmt Case No, vs. 95-02912 Name of Respondent Kidder, Peabody & Co., Incorporated REPRESENTATION For Claimant, Atlantic Securities & Capital Management, Inc. ("Claimant") Steven N. Fuller, Esq. from the law firm of Peabody & Brown located in Boston, Massachusetts. For Respondent, Kidder Peabody & Co. ("Respondent"), Peter R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Biltmore Securities, Inc. 95-02903 Name of Respondent Barry S. Brigand REPRESENTATION For Claimant Biltmore Securities, Inc. ("Biltmore"): Edward P. Degenhardt, Esq., of Bernstein & Wasserman, Fort Lauderdaie, FL. For Respondent Barry S. Brigand ("Brigand"): Pro se. CASE INFORMATION Statement of Claim filed on: June 2,

N.A.S D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard and Elizabeth Lange 95-02881 Name of Respondents Elliot Fisher (a/k/a Ilya Fisher) Cartwright & Walker Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 14, 1995, Claimants Richard and Elizabeth Lange- ("Claimants"), through their representative, Michael W.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Marie and James Chandler 95-02872 Name of Respondents Merrill, Lynch, Pierce, Fenner & Smith, Inc. Richard W. Janaes CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 14, 1995, Claimants Marie and James Chandler ("Claimants"), through their representative, Michael W. Pursley, of

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-00985 Benjamin Rivas and Lazara Rivas, JTWROS Benjamin Rivas and Jacquelyn Rivas, JTWROS Benjamin Rivas and Benjamin Rivas, Jr., JTWROS Names of the Respondents Hearing Site: Tampa, Florida James S. Okun a/k/a Jimmy S. Okun Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member and Associated P

NASD Regulation, Inc. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants) Steven Mait 95-02863 Name of Respondent(s) Oppenheimer & Co., Inc. REPRESENTATION For Claimant Steven Mait ("Mait"): Ronald Shindler, Esq. of Fowler, White, Burnett, Hurley, Banick & Stickroot, Miami, Florida. For Respondent Oppenheimer & Co., Inc. ("Oppenheimer"): John Hecht, Esq. of Morvillo, Abramowitz, Grand, lason, & Silberb

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Mary Ann and John Eger, John Eger Esq. P/S PL & TST DTD 11/20/86, Maryann Eger Shearson as IRA Custodian (Claimants) vs. Smith Barney Shearson, Inc., Roger M. Matloff, (Respondents) Case Number: 95-02855 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Mary Ann and John Eger, John Eger Esq. P/S PL & TST DTD 11/20/86, Maryann Eger Shearson as IRA Custodian, her

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between' Name of .Claimantfs) George Diacoumakos Kenneth A. Barton 95-02833 Name of Respondent^ M.H. Meyerson & Co., Inc. Joseph Schmidt REPRESENTATION For Claimants, Kenneth A. Barton ("Barton") and George Diacoumakos ("Diacoumakos"), collectively ("Claimants") appeared Peter Pearlman, Esq. of the firm Conn, Lifland, Pearlman, Hermann & Knopf

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Lehman Brothers, Inc. f/k/a Shearson Lehman Brothers, Inc. v. Name of Respondent Jeffrey L. Marguiies NASD Regulation, Inc. Arbitration No. 95-02814 REPRESENTATION For Claimant: For Respondent: Statement of Claim filed: Neal S. Robb, Esq. Keesal, Young & Logan Long Beach, California Jeffrey L. Ma