N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Eugene Simonow and Vera Simonow 93-00299 Name of Respondents Shearson Lehman Brothers, Inc. John A. Currie REPRESENTATION For Claimants Eugene and Vera Simonow ("Claimants"): Anthony Trogan, Esq. of the law firm of Weisman, Trogan, Young & Schloss located in Birmingham, Michigan. For Respondents Shearson Lehman Brother

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ^b 1 7 I99'r In the Matter of the Arbitration Between ~^ —• "'"' - —-• - Name of Claimani Paul Zucker 93-00289 Name of Respondents Merrill, Lynch, Pierce. Fenner & Smith, Inc. and David T. Parker REPRESENTATION Claimant was Paul Zucker (Zucker") pro, se. For Respondents Merrill, Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") and David T. Parker ("Parker"): Elizabeth G. .Armstrong

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Elmer D. Carlson, Diann M. Carlson, and Super Sound Tapes, Inc., (Claimants) vs. Security Capital Trading, Inc., Dirks & Company, Inc., Katherine Kierce Bader, Jessy Dirks, Robert Goss, and Vincent Piazza, (Respondents) Case Number: 01-00926 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Elmer D. Carlson ("E. Carlson"), Diann M. Carlson ("D. Carlson"), a

NASD Arbitration No 93-00286 N.A.S.D. AWAPD NATIONAL ASSOCTATTON OF SECURITY nKAT.F.RS. TNG. In the matter of the Arbitration Between Name of Claimant Eileen Tunick Name of Respondents David Duke Financial, Inc. Charles Bergman REPRESENTATION For Claimants: Phillip G. Samovar, Esq. - Santa Monica, California For Respondents: David Park - Deltavest Financial, Inc. - Los Angeles, California CASE INFORMATION Statement of Claim filed

N.A.S:D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eric Stoer & Anne Wilson Heslop, Trustees on behalf of the Thomas A. Wilson Remainder Trust AWARD vs #93-00283 Name of Resnondents Smith Barney Harris Upham & Co., Inc. J. Frank Joyce, II REPRESENTATION For Claimant Eric Stoer & Anne Wilson Hesiop, Trustees on behalf of the Thomas A. Wilson Remainder Trust ("Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Van Keith Collinsworth 93-00280 Name of Respondent Bull & Bear Securities. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 27, 1993, Claimant Van Keith Collinsworth, who appeared Pro Se, alleged that as of September, 1992, he owned 1,000 shares of TMX stock in an account w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Diane M. Buckshnis 93-00277 Name of Respondents Jerry Baker Rick Dye CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on January 27, 1993, Claimant Diane M. Buckshnis, who appeared Pro Se, alleged that after her broker left the firm of Bateman, Eichler; a predecessor of Kemper Securiti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant PaineWebber, Inc. 93-00274 0 UV ; : . ;. ;•-.-., REPRESENTATION OF PARTIES Claimant/ PaineWebber/ Inc. ("PaineWebier") was represented at the: hearing by John Hubbard, Esq of the Law Offices of Alan Miller-; ... ^B4rming;ham f .Michigan. ^ . £ , . * ..-.. ...„. -v..-,•,-=, -/-.;...,. -. ••- . ,...,..'-^-.yr-HyJ "Munro") appeared at the hearing

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of C1ain|pnt Merrill Lynch, Pierce, Fenner & Smith, Inc. 93-00273 Name of Respondent Jim Bennett CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 2, 1993, Merrill Lynch, Pierce, Fenner & Smith, Inc., by and through their counsel Robert J. Madden, Esq. of Gibbs & Ratliff, L.L.R, H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Henryk Kaston vs. Case # 93-00272 Name of Respondents Shearson Lehman Brothers, Inc. Frank Tortorici REPRESENTATION For Claimant, Henryk Kaston ("Claimant"), Dan Brecher Esq., from the law firm of Dan Brecher. For Respondent, Shearson Lehman Brothers, Inc. ("Shearson") and Frank Tortorici ("Tortorici"), Harry D. Frisch