N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John K. Murray 93-00668 Name of Respondents PaineWebber Incorporated; Frank Bagrier REPRESENTATION For Claimant: John K. Murray ("Murray") was represented by Mark L. Aschermann, Esq. of Houston, Texas. For Respondents: PaineWebber Incorporated ("PaineWebber") and Frank Bagrier ("Bagrier") were represented by Joseph A. V

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimants E.A. and Joye Davis 93-00667 Name of Respondents Merrill Lynch Pierce Fenner & Smith. Inc. Charles S. Stiles CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23, 1993, Claimants E.A. and Joye Davis, by and through Paul N. Young of Securities Arbitration Group, Inc., Los An

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants C.J. St.Germain & James St.Germain 93-00663 Name of Respondents Prudential Securities, Inc. Bear Steams & Company Frederick Stone CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23, 1993, Claimants C.J. St. Germain & James St. Germain, who appeared by and through their at

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fred S. Wilson 93-00662 Name of Respondents Hanover. Sterling & Company Ltd. Mark A. Lefkowitz CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23. 1992, Claimant Fred S. Wilson, who appeared Pro Se, alleged that in August, 1992 he purchased 1,000 shares of Alter Sales stoc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Forum Associates. Inc. 93-00657 Name of Respondents Suppes Securities Inc. Eric Huggler REPRESENTATION For Claimant Forum Associates, Inc. ("Claimant"): John J. Villani, of Forum Associates, Inc. For Respondent Suppes Securities Inc. ("Suppes"): Michael N. Karp, Esq., a sole practitioner. Respondent Eric Huggler ("Huggler") represente

NASD AWARD Claimants Bruce Oliver Respondents Charles Schwab & Co., Inc. Case Number 93-00656 REPRESENTATION For Claimant, Bruce Oliver ("Oliver"): Brian Cooke, Esq.of Arastein & Lehr, West Palm Beach, Florida. For Respondent, Charles Schwab & Co., Inc. ("Schwab"): Neil Baritz, Esq. of Boose, Casey, Ciklin, Lubitz, Martens, McEane & O'Cornell, West Palm Beach, Florida. CASE INFORMATION Statement of Claim filed: February 22, 1993. Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Steven A. White NASD Arbitration No. 93-00654 cvf Respondent Princeton American Equities, Inc. RFPRFSENTATION For Claimant: Steven D. Marks - Gold, Marks, Ring & Pepper - Los Angeles, California For Respondent: No appearance by respondent CASE INFORMATION Statement of Claim filed: February 23, 1993 Claimant's

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Newton Deiter, Claimant v. Merrill Lynch, Pierce, Fenner and Smith, Inc. and Frederick J. Bothmer, Respondents Case Number: 00-05059 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: - Jonathan W. Evans, Esq. Jonathan W. Evans & Associates Los Angeles, California For Respondents: Bryan I. Reyhani, Esq. Merrill Lynch Pierce Fen

N.A.S.D., INC. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Bernard M. Ellis No. 93-00644 Adams Securities, Washington Investment Corp., Michael Richard Waldman REPRESENTATION OF PARTIES Claimant, Bernard M. Ellis was represented by Paul J. Sussman, Esq. of Chicago, Illinois. Respondent, Washington Investment Corp. was represented by Katherine H. Kalinowski, Esq. of Baber & Ka

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. and 93-00641 Name of Respondent Fred E. Hoffman REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by Joseph A. Vallo, Esq. of PaineWebber, Inc., Weehawken, NJ. Fred E. Hoffman ("Respondent") was represented by J. William Holland, Esq. of Holland & Holland, Chicago, IL. CASE