AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the matter of the Arbitration Between NASD Regulation, Inc. No. 95-01806 Claimant LaRue Bean vs. Respondents Smith Barney Inc. Richard Holbrook REPRESENTATION OF PARTIES For Claimant: Jack J. Orr, Esq., Harris, Orr & Wakayama, Seattle, Washington For Respondents: John Bevilacqua, Esq., Smith Barney Inc:, New York, New York 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 Quentin J. Benedetti, Trustee for By The House of Quinto Trust 95-01804 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. John F. Watkins CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 12, 1995, Claimant Quentin J. Benedetti, Trustee for By The House of Q

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bush & Bush Fanners 95-01803 Prudential Securities, Inc. Franklin L. Utermehie CASE SUMMARY In a claim filed with the National Association of Securities Dealers, [nc. on April 12, 1995 Claimant Bush & Bush Partners ("Claimant"), a partnership, through its representative, James J. Eccleston, Esq., of Uscian & Eccleston, located

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mary A. Wong, (Claimant) vs. Investor's Advocate, LLC, Steven Maczak, and Jason Watkins, (Respondents) Case Number: 00-05084 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Mary A. Wong, hereinafter referred to as "Claimant", appeared pro se, Respondents, Investor's Advocate, LLC CIA"), Steven Maczak ("Maczak"), and Jason Watkins ("Watkins"), hereinaft

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Jack C. Dillon 95-01802 Name of Respondent^ James Lawrence Montreuil AmerinationaJ Financial Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 12, 1995 and in an amended claim filed on June 21, 1995, Claimant Jack C. Dillon, through his counsel, Gordon D. Dihle,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles K. Touchton 95-01796 Name of Respondents A.G. Edwards & Sons, Inc. James T. Metcaif, Jr. CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on April 12, 1995, Claimant Charles K, Touchton ("Claimant"), who appeared Pro Se, alleged that Respondents A.G. Edwards & Sons, Inc. CAGES"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Richard C. Nelson Alice Nelson NASD Arbitration No. 95-01792 Name of Respondent(s) Smith Barney Shearson, Inc. REPRES ENTATION For Claimants: Richard C. Nelson, Seattle, Washington For Respondent: Sean J. Coughlin, Esq., Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: Ma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul J. Fike 95-01790 Name of Respondents Carl G. Gordinier L.C. Wegard & Co., Inc. CASE SUMMARY In a claim riled with the National Association of Securities Dealers, Inc. on April 11, 1995, Claimant Paul I. Ftke ("Claimant"), who appeared Pro Se, alleged that Respondents L.C. Wegard & Co,, Inc. CLCW") and Carl G. Gordinier

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alexander Hillman 95-01788 N'ama of Re-pon Hanover, Sterling & Co., Ltd. Michael Orlino CASE SUMMARY In :i claim filed with the National Association of Securities Dealers, Inc. on April 11, 1995 Claimant Alexander Hillman ("Claimant 11 ), who appeared Pro Se, alleged that Respondent Hanover Sterling &. Co., Ltd. ("H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Melba and Dwight Talley 95-01784 Name of Respondent Robert Thomas Securities, Inc. CASEgUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 11, 1995, Claimants, Melba and Dwight Talley, who appeared Pro Se, alleged that Respondent, Robert Thomas Securities, Inc., sold them unsuitable secu