N.A.S.D. AWARD KATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David Walton Matthews Case No: 95-00751 Name of Respondent Stein, Shore Securities successor in interest to Lifeco Securities Corp. REPRESENTATION For Claimant, David Walton Matthews ("Matthews"): Elsie C. Turner, Esq., of Maitland, Florida For Respondent, Stien, Shore Securities ("Stein"): Delmer C. Cowing III, Esq., o

- DEC.22.1998 5:37PM NftSD BOCA . • , * NO.407 P.2 \ ' N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Glenn J. Harris and Ellen Hards 95-00750 Name of Respondent Prudential Securities Inc. REPRESENTATION For Claimants Glenn J. Hams and Ellen Harris ("Hams 11 ): Tim B. Wright, Esq. of Warner, Pox, Sedgy, Dongey & Sweet, P,A,, Orlando, FL. For Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants Kurt Levy Ruth Levy 95-00741 Name of Respondents PaineWebber, Inc. Neal A. Leschel REPRESENTATION For Claimants Kurt Levy and Ruth Levy ("Claimants") appeared Steven I. Adler, Esq. of the law firm of Cole, Schotz, Meisel, Forman & Leonard, P. A. located in Hackensack, New Jersey. For Respondents PaineWebber, Inc. ("PaineWe

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Mona L. Mulhollan and Case No. 95-00735 Names of Respondents Bruce Fridley and Kcniper Securities, Incorporated REPRESENTATION For Claimant, Mona L. Mulhollan: Walter T. Weathers, Jr., Esquire Sole Practitioner Houston, Texas For Respondents, Bruce E. Fridley and Kemper Securities, Inc.: Renan Sugarman, Esquire Everen Se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Josephthal Lyon & Ross, Inc. 95-00732 Name of Respondent Thomas Roskin CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on February 13,1995, Claimant Josephthal Lyon & Ross, Inc. ("JLR"), through its representative and in-house counsel, Robert E. Murphy, Esq., located in New York, N. Y., a

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Merrill Lynch Pierce Fenner & Smith, Inc. vs. Prudential Securities, Inc., Paul Payne, Jesse Diaz, Thomas Stotz, James Kilgallon, Gregory Schneider, and Stephen Czocher Case Number: 00-03855 Hearing Site: Chicago, Illinois consolidated with Paul Payne, Jesse Diaz, Thomas Stotz, James Kilgallon, Gregory Schneider, and Stephen Czocher v. Merrill Lynch Pierce Fenner & Smith, Inc.

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Diana Paolucci Corporation 95-00730 Names of Respondents PaineWebber, Inc. Ramon Almonte REPRESENTATION For Claimant Diana Paolucci Corporation ("Paolucci"): Bruce A. Katzen, Esq. of Kluger, Peretz, Kaplan & Berlin, P.A., Miami, Florida. For Respondents PaineWebber, Inc. ("PaineWebber") and Ramon Almonte ("Almonte")

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Antonio DiNuto, Claimant, v. No. 95-00729 OLDE Discount Corporation, and Andrew Siegel, Respondents. REPRESENTATION OF PARTIES Antonio DiNuto ("Claimant") was represented by Albert M. Goldberg, Esq., Phoenix, Arizona. OLDE Discount Corporation ("OLDE") and Andrew Siegel ("Siegel") (jointly referred to as "Respondents") were represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of claimant Edward L. Ferdinand 95-00727 Najne of Respondents Estate of Stephen J. Schappell Mercer Securities, Ltd, REPRESENTATION For Claimant Edward L. Ferdinand ("Claimant"): Ralf Gilbert, Esq. of Ralf Gilbert Law Offices, Fairless Hills, Pennsylvania For Respondent Estate of Stephen J. Schappell ("Schappell"): Bruce G. Schappe

NASD AWARD In the Matter of the Arbitration Between Name of Claimant William C. Hulett and NASD Case Number 95-00726 Name of Respondent Pruco Securities Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about February 13, 3995, William C. Hulett ("Hulett") who appeared Pro Se alleged that Pruco Securities Corporation ("Pruco") improperly purchased for him a variable appreciable lif