f N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ' Name of Claimant(s) Jonathan Frank 95-01287 Name of Respondent^ Swiss Bank Corporation REPRESENTATION For Claimant, Jonathan Frank ("Claimant"), Neal Brickman, Esq. located in New York, N.Y. For Respondent, Swiss Bank Corp. ("Respondent"), Laura Hoguet, Esq. of the firm Hoguet, Newman & Regal, located in New York, N.Y. CASE INFORMAT

NASD Arbitration No.95-01284 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Jerry & Florie Goulding Name of Respondent Prudential Securities, Inc. REPRESENTATION For Claimants: " Steven W. Strain, Esq., San Francisco, California For Respondent: Patricia A. Fitzpatrick, Esq., Prudential Securities, Inc., New York, New York. CASE INFORMATION Statement of Claim

N A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Helen Pelzman & The Jerry Pelzman Trust 95-01280 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Norman A. Rosner REPRESENTATION For Claimants, Helen Pelzman and The Jerry Pelzman Trust, appeared Helen Pelzman (pro se). For Respondents, Merrili Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") and Norman Rosner

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04629 Harvey L. Malone, Claimant vs. Prudential Securities Incorporated and Christopher S. Montgomery, Respondents. ATTORNEYS: Claimant, Harvey L. Malone ("Claimant"), appeared Pro Se., Metairie, LA. For Respondents, Prudential Securities, Inc. and Christopher S. Montgomery (collectively "Respondents") appeared in-house counsel, Marci B. Gold, Esq., New York, NY. DATE FILED: Octobe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas Brademas 95-01277 Name of Respondents Stratton Oakmont, Inc. Martin M. Meltzer CASE SUMMARY [n a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1995, Claimant Thomas Brademas, who appeared Pro Se, alleged that Respondents Stratton Oakmont, Inc. ("Stratton") and Martin M. Meltzer ("

N.A.S.D. AWAKD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Walid Maghribi, TTEE the Maghribi Living Trust Agreement DD 11/3/94 of Respondnts Charles Schwab & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1995, Claimant Walid Maghribi, TTEE, the Maghribi Living Trust Agreement DD 11/3/94, who appeared Pro Se, alleged that during the fir

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC AWARD In the matter of the Arbitration Between Name of Claimant^ Richard McGlumphy Ronald McGlumphy Foothill Securities, Inc. NASD Arbitration No. 95-01267 REPRESENTATION For Claimants: For Respondent: Irwin G. Stein, Investors Recovery Service, Novato, California Douglas B. Martin, Jr., Esq. San Francisco, California CASE INFORMATION Statement of Claim filed: March

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert M. Bauer, Claimant, v. Rhodes Securities, Inc., James Rhodes, Richard Pendleton, Thomas Hoover, and Jeffcry Breault, Respondents. and No. 95-01262 Rhodes Securities, Inc., Counterclaimant, v. Robert M. Bauer, Counterrespondent REPRESENTATION OF PARTIES Robert M. Bauer ("Claimant") was represented by Chri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Frederick J. Del Grosso and Brigitte Del Grosso JTWROS 95-01259 Name of Respondent K. Aufhauser & Company, Inc. REPRESENTATION Claimants Frederick J. Del Grosso and Brigitte Del Grosso, JTWROS ("Claimants") were represented by Frederick J. Del Grosso Respondent K. Aufhauser & Company, Inc. ("Respondent") was represente

N.A^S.D. AWARD NATIONAL ASSOCIATION OP SEjqnRITTEg DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(a) Jamea A. Beall NASD Arbitration No- 95-01257 Name of Respondent f B) Kidder, Peabody & Co., Inc. Douglas J. McCaslin Matthew R. Miller REPRESENTATION F'or Claimant: Timothy S. DeJong, Esq., Stoll Stoll Berne Lokting & Shlachter P.C., Portland, Oregon For Respondents: William H. Phelps, Esq.. Kidder, Peabod