NASD AWARD Claimants Helen Woodworth Respondents Jonathan Alan & Co, Inc. and Robert Peariman Case Number 93-02557 REPRESENTATION For Claimant, Helen Woodworth ("Woodworth"): John R. Kiefner, Esq. of Riden, Earle & Kiefner St. Petersburg, Florida. For Respondent, Jonathan Alan & Co., Inc. ("Jonathan Alan"): Mitchel Feinglas of Jonathan Alan, Bedford, New York. Respondent, Robert Peariman ("Peariman") was pro se. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Walter and Shirley Nadle 93-02550 Name of Respondents Pacific Brokerage Services, Inc. Security Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 28, 1993, Claimants Walter and Shirley Nadle, who were represented by Michael B. Rappel, Esq., Tamarac, Flo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants vs. Name of Resondents For Claimant: For Respondents: REPRESENTATION . / NASD No. 93 - (7A CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed: < UMM$- Statement of Answer filed by Respondents on: Respondents' Submission Agreements signed on: HEARING TNFOPMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joan C. Conrad and Richard C. Rompala 93-02547 Name of Respondents Dean Witter Reynolds, Inc. Robert Brennan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 29, 1993, Claimants Joan C. Conrad and Richard C. Rompala, who appeared Pro Se, alleged that Respondents Dean Witter Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mariain Gulezian 93-02542 Name of Respondents Smith Barney Harris Upham & Co., Inc. Joseph Orazio Giunta CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 28, 1993, Claimant Mariam Gulezian, who appeared Pro Se, alleged that Respondents Smith Barney, Harris, Upham & Co., Inc. an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henri Lipmanowicz, (Claimant) vs. Janssen-Meyers Associates, L.P. d/b/a Janssen/Meyers Associates, L.P. and Roan-Meyers Associates, L.P. d/b/a Roan/Meyers Associates, L.P., (Respondents) vs. Jeffrey Hodde (Third-Party Respondent) Case Number: 00-03707 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Henri Lipmanowicz, hereinafter referred to as "Claimant": Robert

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jeanne Lee and Jeffrey C. Mauk 93-02541 Name of Respondents Hibbard Brown & Co., Inc. Thomas Corey Kipp CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 29, 1993, Claimants Jeanne Lee and Jeffrey C. Mauk, who appeared Pro Se, alleged that Respondents Thomas Corey Kipp and Hibb

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Florence N. Silverstein 93-02539 Name of Respondents Prudential Securities, Inc. Carl C. Roba CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on June 28, 1993, Claimant Florence N. Silverstein, by and through her representative Paul N. Young, alleged that she maintained accounts with

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mater of the Arbitration Between Claimants Dr. Marc T. Edwards and Cynthia Edwards vs. Case # 93-02530 Respondents Scott Landow and Bear Stearns & Co. REPRESENTATION For Claimant: Edward W. Russey, m, Esq. of Investors Arbitration Services, Inc. located in Woodland Hills, California. For Respondent: James M. Hubbert, Esq. of Bear Stearns and Company, New York, New York. CAS

Jfe NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Amy Lou Gardner 1 .; _'-'; . , and , 93-02528 Name of Respondents Robin Payne Travelers Equity Sales, Inc. REPIffiSENTATIQN OF PARTIES Amy Lou Gardner ("Claimant") Svas represented by Nicholas L. Gardner, Houston, Texas. quky Safes, Inc. ("Respondent Travelers'7^ Unger, "Esq., of Tenzer, Greenfalatt, Falld