N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sterling Computer Svcs. Profit Sh. Plan Roman J. Sterlin Marie H. Sterlin Roman J. & Marie H. Sterlin, JTWROS 95-01102 (consolidated with 95-01104, 95-02315 and 95-02335) Name of Respondents Joseph Principe Dean Kajorus Berkeley Securities Corp. REPRESENTATION For Claimants Sterling Computer Svcs. Profit Sh. Pl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Noel C. Purdie 95-01097 Name of Respondents Smith Barney Shearson, Inc. n/k/a Smith Barney Inc. Conrad Tetrault CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimant/ Noel C. Purdie, who appeared Pro Se, alleged that Respondents Smith Barney Shearson, Inc. and Conrad

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Helen F. Drake Revocable Trust, Helen F. Drake, Trustee Claimant 95-01093 Smith Barney Shearson, Inc., and Lee A. Weiss Respondents REPRESENTATION Claimant Helen F. Drake Revocable Trust, Helen F. Drake, Trustee ("Claimant") was represented by Robert D. Mitchell, Esq., of Scottsdale, Arizona. Smith Barney Shearson, and Lee Weiss ("Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. IMC, In the matter of the Arbitration Between Name of Claimant(s) Angelita F. Tomanek Thomas J. Tomanek NASD Arbitration No. 95-01091 Name of Respondentfs) Dean Witter Reynolds Inc. Jeffrey M. Seidel Ronald Sherman Carl Hulick REPRESENTATION For Claimants; Karl R. Molineux, Esq., Smith, Merrill & Peffer, San Ramon, California For Respondents: Timm A. VerDuin, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara Miller 95-01081 Name of Respondent Prudential Securities Inc REPRESENTATION Claimant Barbara Miller ("Claimant") appeared pro se Respondent Prudential Securities, Inc. ("Respondent") was represented by David B. Gorfinkel, Assistant General Counsel, Prudential Securities, Inc., New York, NY CASE INFORMATION T

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Eileen and Barry Bachenheimer, (Claimants) vs. Hanover Sterling & Co., Ltd., Randy M. Ashenfarb, and James Crimi (Respondents). Case Number: 95-01076 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Claimants Eileen ("Eileen") and Barry ("Barry") Bachenheimer, "Claimants": Dan Druz, Esq., Manasquan, New Jersey. For Respondent Hanover Sterling & Co., Ltd. ("Hanover")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold L. & Vivian C. Kemp 95-01073 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Patricia Prucha Slagle CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 2, 1995, Claimants Harold L. and Vivian C. Kemp ("Claimants"), through their representative Richard W. Groner, E

AWARD NASD REGULATION. INC- In the matter of the Arbitration Between Name of Claimants Daker S. Volkert and Betty L. Volkert v. Arbitration No. 95-01063 Name of Respondents Paulson Investment Company, Inc., Investors Associates, Inc., Alex Cherepakhov, Donna Silverman Cherepakov and Roland Acevedo REPRESENTATION For Claimants: Karl D. Mowery, Esq. Law Offices of Karl D. Mowery Hemet, California For Respondent Investor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimantfs) Helen L. Olson Roy L. Olson NASD Arbitration No. 95-01062 Name of Respondent(s) Dean Witter Reynolds Inc. Kevin Wilson REPRESENTATION For Claimants: Helen and Roy Olson, Suisun, California For Respondents: Janet T. Epstein, Esq., Dean Witter Reynolds Inc., San Francisco, California CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch Pierce Fenner & Smith, Inc. Case Number: 00-04597 Joseph Paterno and Mary Lou Paterno Hearing Site: Fort Lauderdale, Florida REPRESENTATION OF PARTIES Merrill Lynch Pierce Fenner & Smith, Inc., hereinafter referred to as "Claimant": Bradford D. Kaufman, Esq., Jason M. Fedo, Esq., Neil B. Solomon, Esq. and Todd Zuckerbrod, Esq., Greenberg Traurig, P.A., West Palm Beach,