N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants R.A. Gillis & Fabiola R. Gillis 92-03843 Name of Respondents Dominick & Dominick Incorporated; Andrew Scudiero; Robert H. Griffith; Nick Ferrara. REPRESENTATION Claimants R.A. Gillis and Fabiola R. Gillis appeared pro se. Respondent Dominick & Dominick Incorporated was represented by Suzanne M. Saur, Esq. and John

N.A.S,D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marnett Corp. Case # vs. 92-03841 Name of Respondents Fanny Montgomery Charles Ung Edwin E. Perry REPRESENTATION Claimant, Marnett Corp. ("Claimant"), was not represented by counsel. For Respondent(s), Janney Montgomery Scott, Inc., ("IMS"), Charles Ung ("Ung"), and Edwin E. Perry ("Perry"), Frank Salera. Esq. from

Award NASD Dispute Resolution in tne Matter or me Arbitration Between: Name of the Claimant Case Number: 00-05003 C. Stephen Hautpli Name of the Respondent Hearing Site: Boca Raton, Florida UBS PaineWebber, Inc. REPRESENTATION OF PARTIES For C. Stephen Hautpli ("Hautpli"), hereinafter referred to as "Claimant": Paul I. Aronowitz, Houston, Texas. For UBS PaineWebber, Inc. ("UBS-PW"), hereinafter referred to as "Respondent": Charles W. Schwart

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph J. Whittman 92-03840 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. Brian C. Buetel REPRESENTATION Claimant Joseph J. Whittman, HI ("Claimant"): Herbert M. Linsenberg, Attorney at Law and Anthony Boris, Attorney at Law. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill 11 ) and

AWARD HATIQMAT. OP ggcnsTTTES DSALF.Hfl . INC. Zn the matter of the Arbitration Between Name of Prudential Securities incorporated NASD Arbitration NO. 92-03838 Mam A of Respondent fa) Paul Laub For Claimant: Charles B. LaChaussee, Esq., Prudential Securities Incorporated, New York, New York For Respondent: William E. Mussman, III, Keq,, Carr t MUMIMH, San Francisco > Cal i f oraia Statement of Claim filed: November 11, 1392

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Orthopedic Surgery Associates, P.C. Pension Trust Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc. 92-03834 REPRESENTATION For Claimant, ORTHOPEDIC SURGERY ASSOCIATES, P.C. PENSION TRUST: Thomas B. Bourque, Esq. of the law firm of Conlin, McKenney & Philbrick, P.C. For Respondent, MERRILL LYNCH, PIERCE, FENNER &

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Annette E. Stiefbold 92-03832 Name of Respondents Dean Witter Reynolds Inc. Jane E. Bransfield CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 11,1992, Claimant Annette E. Stiefbold, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., throug

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sam Rodio Construction, Inc.; Cellular Construction Management, Inc.; and Douglas Bird 92-03827 Name of Respondents Paine Webber Incorporated; Patrick M. Mendenhall REPRESENTATION For Claimants: Sam Rodio Construction, Inc. ("Rodio"), Cellular Construction Management, Inc. ("Cellular") and Douglas Bird ("Bird") were re

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter x>f the Arbitration Between Name of Claimant George Tillson 92-03821 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant: George E. Tillson, appearing pro se. For Respondent: Ann Parry, Esq. Associate General Counsel for Shearson Lehman Brothers, Inc. CASE INFORMATION Statement of Claim filed: November 9, 1992. Claimant's Submission Agreem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) John F. Cucchiara 92-03818 Name of Respondent(s) Mutual Service Corp REPRESENTATION Claimant John F. Cucchiara was, pro se. For Respondent: Jeffrey Cohen, Esq. of Stephens, Lynn, Klein & McNichoias. CASE INFORMATION Statement of Claim filed: 11/5/92. Claimant's Submission Agreement signed on: 11/5/92. Statement o