N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael and Kristopher Deapen 95-01710 Name of Respondents New England Securities Corp. Stanley Walters CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 6, 1995, Claimants Michael and Kristopher Deapen ("Claimants"), through their representative and counsel, Robert M. Roth, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. vs. 95-01689 Name of Respondent Mario J. Ferrari REPRESENTATION For Claimant, PaineWebber, Inc., appeared Evan J. Charkes, Esq. in-house counsel for PaineWebber Inc. located in New York, New York. For Respondent, Mario J. Ferrari, appeared Dan A. Dniz, Esq., sole practioner, Sea Girt, New Jersey. CASE

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stephen D. Davvahare, Claimant Vs. Case Number: 00-04677 Morgan Stanley Dean Witter, Respondent. Hearing Site: Cincinnati, Ohio REPRESENTATION OF PARTIES Claimant Stephen D. Dawahare ("Dawahare") was represented by Barry D. Hunter, Esquire, of Frost Brown Todd, LLC, Lexington, Kentucky. Respondent Morgan Stanley Dean Witter ("MSDW") was represented by Todd E.

NASD Regulation, Inc., Award In the Matter of Arbitration Between Louis S. Brouillette Claimant, and No. 95-01683 Jeffery Steven Stone & Smith Barney Inc. (f/k/a Smith Barney Shearson Inc.) Respondents. REPRESENTATION OF PARTIES Claimant, Louis S. Brouillette ( "Brouillette" ), was represented by Philip C. McGahey, Esq. and Mr. Paxton, Esq. of the Law Offices of Paxton, Beal & McGahey, located in Arlington, Texas. Respondent, Smith Barne

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Lloyd H. Thomas Miriam Stumpf Thomas and Name of Respondent Paine Webber, Inc. Case Number: 95-01681 REPRESENTATION OF PARTIES Claimants Lloyd H. Thomas and Miriam Stumpf Thomas ("Claimants") were represented by James E. Stovall, Esq. of Metallic, Louisiana. Respondent Paine Webber, Inc. ("Respondent") was represented b

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Betty G. Price Family Trust Betty G. Price Case No. 95-01680 Name of Respondents A.G. Edwards & Sons, Inc. Jeffery L. Curtin REPRESENTATION For Claimants, Betty G. Price and Betty G. Price Family Trust ("Price"); Norman Meyers, Esq. of Meyers & Bierkan, P.A., of Sun City Center, Florida. For Respondents, A.G. Edwards &

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kim Feddick, and Mesa Produce, Inc. /Pension Plan & Trust, Claimants, v. Consolidated No.s 95-01677 95-01675 Norcross Securities Inc., and Stuart O. Bates, Respondents. REPRESENTATION OF PARTIES Kim Feddick ("Feddick"), Mesa Produce, Inc. ("MPI"), and Mesa Produce Brokers Inc. Profit Sharing Plan & Trust ("MPBI") (collectively referre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Heinz Schairer 95-01673 Name of Respondents Smith Barney Harris Upham & Co., [nc. Scott L. Kleiner REPRESENTATION Claimant Heinz Schairer ("Schairer") appeared pro se. For Respondents Smith Barney, Inc. ("Smith Barney") and Scott Kleiner ("Kleiner"), Ann Parry, Esq. of Smith Barney, located in New York, New York, CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name, of Claimant Lawrence A. DeMaio 95-01671 Name of Respondents Investors Associates Inc. David J. Britton REPRESENTATION For Claimant Lawrence A. DeMaio ("Claimant"): Susan N. Perkins, Attorney at Law, New York, New York For Respondent Investors Associates Inc- ("Investors Associates"): Lawrence R. Gelber, Esq. of the law firm of Bei

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant James Calcagnini 95-01669 Name of Respondent Fidelity Investments Institutional Srves REPRESENTATION For Claimant James Calcagnini ("claimant") appeared John P. Cione, Esq. located in Solana Beach, CA. For Respondent Fidelity Investments ("respondent") appeared John Jenkins, Esq. of the firm Shanley & Fisher, located in New York, New Y