NASD REGULATION, INC AWARD NASD REGULATION, INC. la the Matter of the Arbitration Between Name of Claimants New Island Management Advisors, L.P. General New Island, Inc. 95-01134 Name of Respondents Evan Stoopler Julian Stoopler Hhrenkiantz King Nussbauro, Inc. REPRESENTATION For Claimant; New Island ManagenTent^AdvisorsvL.P.^INew Island' 1 ) and General New Island; Inc. (collectively the "Claimants"), appeared Dan Dtwz, Esq.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Edward K Peplinski and NASD Case Number: 95-01131 Name of Respondents Tamaron Investments, Inc. James Scott Blake RFPRF.SffNTATTQFLnF PARTIES Clamant Edward K. Peplinski was represented by lames A. Bolt, Esq., New Berlin, Wisconsin. Respondent Tamaron Investments, Inc. was represented by Brad Ramming, Esq. of Overtoil, Babiar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Investor Resource Services, Inc. 95-01129 Name of Respondents Lew Lieberbaum & Company, Inc. Mark I. Lew Leonard A. Neuhaus REPRESENTATION For Claimant: John E. Lawlor, Esq., Mineola, NY. For Respondents: Chase Caro, Esq. of the law firm of Caro & Graifiman, P.C., New York, NY. CASE INFORMATION Statement of Claim fi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Herzog, Heine, Geduld, Inc., 95-01126 Name of Respondents A.T. Brod & Co., Inc., Bear Stearns Securities Corp., Inc., Kemper Clearing Corp., Roddy DiPrimo, S.A. REPRESENTATION For Claimant Herzog, Heine, Geduld, Inc.: Michael J. McAllister, Esq, from the law firm of Lane & Mittendorf, New York, NY For Respondent Bear St

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Dorotha M Perkins, Claimant, v, PaineWebber, Inc., Barry L.Harris, and Richard Fellows, Respondents. No. 95-01124 REPRESENTATION OF PARTIES Claimant Dorotha M. Perkins was represented by Thomas F. Sedberry, Esquire of Small, Craig & Werkenthin, P.C. located in Austin, Texas, Respondents PaineWebber, Inc., Barry L. Harris, and Richard

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph Gabbe 95-01117 Name of Respondents Smith Barney Shearson, Inc. Dennis A. Schmidt REPRESENTATION For Claimant: Stephen Rauch, Esq. of the law firm of Rauch & Brody, Palm Beach Gardens, Florida For Respondents: Alejandro Schwed, Esq., in-house counsel at Smith Barney Shearson, Inc. CASE INFORMATION Statement of

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Elmer R. Bender Case No. vs. 95-01116 Names of Respondents Thomas James Monarch Securities, Inc. Thomas James Associates REPRESENTATION For Claimant Elmer R. Bender ("Claimant") appeared John J. Hopkins, Esq., a private practitioner with offices located in Long Branch, New Jersey. For Respondent Thomas James ("James") appeared Dennis A. Cipriano

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Inc., Claimant v. Brian Paterno, Respondent Case Number: 00-04599 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith, Inc., hereinafter referred to as "Claimant": Neil B. Solomon, Esq., Greenberg Traurig, West Palm Beach, Florida. Respondent Brian Patemo appeared pro se. CASE INFORMATION

N A.S D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimnt Marie I. Simpson 95-01110 Names of Respondents R.G. Dickinson & Co. Kemper Securities, Inc. Michael A. Wynn Schneider Securities Inc. REPRESENTATION Marie J. Simpson ("Claimant") was represented by Eugene P. Welch, Esq, and John Svoboda, Esq. from Gross & Welch law firm located in Omaha, NE. R.G. Dickinson & Co. ("Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Margie K. Williams 95-01105 Name of Respondents First Investors Corporation Martin S. Brown CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc, on March 2, 1995, Claimant, Margie K. Williams, through her representative, Michael W. Pursley, of Arbitration Research Consultants, in Safety Ha