N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUTCTTTFS DFAI FT?S INC. In the matter of the Arbitration Between Name of Claimant Myrna Stirm 01 Respondents Dean Witter Reynolds, Inc. Gregory Joseph Stawicki NASD Arbitration No. 93-2303 REPRESENTATION For Claimant: In Pro Se For Respondent: Dean Winer Reynolds, Inc. - Janet T. Epstein, Esq. For Respondent: Gregory J. Stawicki - Daniel P. Costa - Diepenbrock & Costa - Sacramento, Califo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Howell L. and Patricia Jean Heaid 93-02300 Name of Respondent Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 10, 1993, Claimants Howell and-Patricia Jean Heald, who appeared Pro Se, alleged that Respondent Shea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant NASD Arbitration Frank and Doris N. Refido, No. 93-02292 Individually and as Trustees of the Frank and D. N. Refalo Family Trust v. Name of Respondents Diversified Securities, Inc. IDS Financial Services. Inc. William M. Nufer REPRESENTATION For Claimant: Jeffrey Louis Gaffhey, Esq., Carlsbad, California For R

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Martha Merritt 93-02289 Name of Respondents Paulson Investment Company, Inc. Easton Blake CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 9, 1993, Claimant Martha Merritt, through her attorney, Cynthia D. DiBartolo, Esq., alleged that Respondent Easton Blake misrepresented the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert P. and Shirley L. Moehring 93-02288 Name of Respondent Adams Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 9, 1993, Claimants Robert P. and Shirley L. Moehring, who appeared Pro Se, alleged that they had a stock account with a company called Respondent A

N.A.S.D. AWARD • - NATIONAL ASSOCIATION OF SECURITIES DEALERS ir - --- : - In the Matter of the Arbitration Between Name nf Robert M. and Alice S. Paulson vs. NASD #93-2287 f Resondents \Vestmark Securities Corp. and Catto Capital Group, Inc. For Claimant: Robert Paulson, pro se For Respondent Westmark Securities: Ronald Catto For Respondent Catto Capital: Did not appear or submit to jurisdiction because not NASD memb

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. CVC. CASE: 00-03701 Jeffrey S. Plotkin, Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Patrick J Riordan, Respondents. ATTORNEYS: Claimant, Jeffrey S. Plotkin ("Claimant"), appeared Pro Se., Austin, TX. For Respondents, Merrill Lynch Pierce Fenner & Smith, Inc. and Patrick J. Riordan, ("Respondents") appeared in-house-counsel Bryan I. Reyhani, Esq., New York, NY. DATE FILED: August 8

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert B. & Doris M. Bunker 93-02274 f Respondent Olde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 8, 1993, Claimants Robert B. & Doris M. Banker, who appeared Pro Se, alleged that Respondent. Olde Discount Corporation was negligent in handling

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William A. Meriino 93-02269 Name of Respondent REPRESENTATION For Claimant William Meriino ("Claimant"): Stephen M, Robinson, Attorney at Law. For Respondent William Kent ("Respondent"): appeared pro se. CASE INFORMATION Statement of Claim filed: June 7, 1993 Claimant's Submission Agreement signed on: May 25, 1993 J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Claimants Glen and Evelyn Gendloff vs. Award # #93-02261 Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., and David M. Roberge, REPRESENTATION For Claimant: Anthony V. Trogan, Jr. of Weisam, Trogan, Young & Schloss, P.C. For Respondents: Samuel A. Turvey of Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE INFORMATION Statement o