N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Herbert Reider 93-03943 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc, CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 29, 1993, Claimant Herbert Reider, who appeared Pro Se, alleged that on October 6, 1987 he was pressured into buying five units of "Arvida JM

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant G. J. Roark, m 93-03936 Name of Respondent Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 29, 1993, Claimant G.J. Roark, m, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. made an error when it sold his 200 shares of Coca-Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ William S. and Joan M. Benecick 93-03934 Name of Resoondent(s) Peak Securities Corp. REPRESENTATION The Claimants appeared pro se. For Respondent Peak Securities Corporation: Stephen W. Wilk, Esq., New York, NY. CASE INFORMATION Statement of Claim filed: September 29, 1993. Claimants' Submission Agreement signed on

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Names of Claimants David W. Goodman, individually and as trustee of the Rocky Mountain Psychological Services and Stress and Pain Management Center Money Purchase Plan u/a dated 01/01/84, and Baerbel Susanne Goodman Names of Respondents Richard Edward Madigan and Richard E. Madigan Associates, Inc. Case No.: 00-03723 Hearing Site: Raleigh, North Carolina RE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Carl Richard Palazzolo 93-03932 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. William Lies, IV CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 27, 1993, Claimant Carl Richard Palazzolo, who appeared Pro Se, alleged that he purchased 300 shares of Intel,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roy E. and Norma G. Bie 93-03925 Name of Respondents Richard Caruso John Hancock Distributors, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 28,1993, Claimants Roy E. and Norma G. Bie, who appeared through their representative, Robert M. Roth, Appleton, WI, allege

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ted Cox 93-03905 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 28, 1993, Claimant Ted Cox, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. neglected its obligations to in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David R. and Ann Shalita, JT TEN 93-03890 Name of Respondent Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 28, 1993, Claimants David & Ann Shalita, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., through its representativ

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DF.AI.RRS. INC. In the matter of the Arbitration Between Name of Claimant NASD Arbitration Jesus Salazar No. 93-03889 v. Name of Respondents Enuity Progrim* 1 Corn Donald Clinton Rogers REPRESENTATION For Claimant: Paul W. Thomas, Esq., Carlsbad. California For Respondents: Peter Shenas, Esq., Shenas, Shaw & Spievak, San Diego, California CASE INFORMATION Statement of Claim fi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Martin Stern and Marilyn Stem 93-03884 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 27, 1993, Claimants Martin and Marilyn Stern, who appeared Pro Se, alleged that Respondent sold Claimants $5,000.00 worth of