NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Harold E. Bluestone 95-00409 Name of Respondent Douglas Getzke REPRESENTATION For Claimant, Harold E. Bluestone ("Claimant"), appeared Guy R. Fairstein, Esq., of the law firm Kurzman & Eisenberg located in White Plains, New York, For Respondent, Douglas Getzke ("Respondent"), appeared Edwin A. Zipf, Esq., of the law firm of Bressle

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edna E. Murray, (Claimant) v. Investors Assoicates, Inc., Morgan Grant Capital Corp., Wexford Clearing Services, Corporation, Fiserv Correspondent Services, Inc., (Respondents) Case Number: 00-03806 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Edna E. Murray ("Murray): James Eccleston and Ronald M. Amato, Esq., Eccleston & Associates, P.C., Chicag

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marshall R. Cassedy, Jr. 95-00408 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc. REPRESENTATION For Claimant: Thomas D. Birge, Esq. and Cathryn B. Mayers, Esq. of Birge & Mayers, P.C., Denver, CO. For Respondent: Nicholas V. Pulignano, Jr., Esq. of Marks, Gray, Conroy & Gibbs, P.A., Jacksonville, FL^ CASE I

N.A.S.D. AWARD NATIONAL ASSOTTATTON OF SFnTRTTTFS DF.AT.F.ES, INC. In the matter of the Arbitration Between ft nf r?1aimamg Merrill Lynch, Pierce, Fenner & Smith, Inc. v. NASD Arbitration No.95-00407 Name of Respondent^) Ho Shun Hui RRPRFSKNTATTON For Claimant: Thomas L. Taylor, Esq. Jones, Bell, Simpson & Abbott Los Angeles, California For Respondent: Geraidine M. Mele, Esq. Los Angeles, California CASE INFORMATION State

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In ilu- M. liter .»r'the Arbitration Between Name "»f Ckiimantm Don A. Daley 95-00405 Name of Respondens) Jne C. McDonald & Company CASE SUMMARY In a claim tiled with the National Association of Securities Dealers. Inc. on January 25, 1995. .Claimant* Don A. Daley, who appeared Pro Se, alleged that Respondent McDonald & Co.,. Inc.. through its registered representative. Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert H. Tilden 95-00404 Name of Respondents Moshe Rimson M.Rimson & Co.,Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1995 Claimant Robert H. Tilden, ("Claimant") who appeared Pro Se, alleged that Respondents Moshe Rimson and M. Rimson & Co., ("Respondents"), o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Janet L. Paulsgrove 95-00403 Name of Respondent(s') Prudential Securities Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1995 Claimant Janet L. Paulsgrove, who appeared Pro Se, alleged that Respondent Prudential Securities Inc., through its investment advisor, Troy

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between A.G. Edwards & Sons, Inc., Claimant, and No. 95-00402 Milt LaPanta, Respondent, REPRESENTATION OF PARTIES Claimant A.G. Edwards & Sons, Inc. was represented by Norman S. Buckvar, Esquire, of A.G. Edwards & Sons, Inc., located in St. Louis, Missouri. Respondent Milt LaPanta was represented by Charles Clayton, Esquire, of Minneapolis, Minnesota.

NASD Arbitration No. 95-00399 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC, In the matter of the Arbitration Between Name of Claimant(s) Dorothy L. Frisbie Name of Respondent(s) Smith Barney Shearson, Inc. Lloyd E. Millegan Eldon J. Wicklund REPRESENTATION For Claimant: Larry H. Schons, Esq., Eugene, Oregon For Respondents: Sean Coughlin, Esq., Smith Barney Inc., New York, New York CASE INFORMATION State

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Amada Carmen Garcia and Asia Garcia Duarte 95-00398 Name of Respondent/Third Party Claimant Merrill Lynch Pierce Fenner & Smith Inc. Name of Third Party Respondent Juan Francisco Pena REPRESENTATION For Claimants, Amada Carmen Garcia ("Garcia"), Asia Garcia Duarte ("Duarte") and Third Party Respondent, Juan Francisco P