NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between VALERIE McFADDEN, Claimant v. NASD No. 93-1584 BEAR STEARNS & CO., INC., Respondent. Representation For Claimant: Steven Kaplan, Esq. and Marvin Krakow of Krakow & Kaplan, Los Angeles, California For Respondent: John Loftus, Esq. and Jill Olofson, Esq., of Keesal, Young & Logan, Long Beach, California Case Information Statement of Claim file

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Frank Ibarra Case .No. 93-01571 Name of Respondent(s) Paine Webber, Inc. REPRE ENTATIQN For Claimant, Frank Ibarra, ("Ibarra"): Mark Dienstag, Esq. of Brenner & Dienstag, P.A. of Fort Lauderdale, Florida. For Respondent, PaineWebber, Inc. ("PW"): Melanie Cherdack, Esq. of PW, Miami, Florida. CASE INFORMATION Stat

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Nancy E. Carlson Claimants v. NASD No. 93-1567 Paine Webber, Inc. Respondents Representation For Claimant: John Fairbrook, Esq., of Burger & Plavan, Sacramento, CA For Respondent: Gary Gleason, Esq^ of Keesai, Young & Logan of San Francisco, CA Information Statement of Claim filed: April 20, 1993 Claimant's Submission Agreement signed: March 26,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Herman D, Harper 93-01563 Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Robert A. Bos CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 20, 1993, Claimant Herman D. Harper, through his representative Martin J. Gofberg of Securities Arbitration Centers, Inc., Fort Lauderdale, PL,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Monte S. Meltzer 93-01562 Name of Respondents Cantella & Company, Inc. James W. Bullard, Jr. Portfolio Asset Management, Inc. REPRESENTATION For Claimant Monte S. Meltzer ("Claimant"): pro se For Respondent Cantella & Company, Inc. ("Cantella"): Arthur P. Fisch, Esq., of the law firm of Fisch & Kaufman, New York, New Yo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ralph E. Innis 93-01559 Name of Respondents Robert Thomas Securities, Inc. Chester B. Marcus CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 20, 1993, Claimant Ralph E. Innis, who appeared Pro Se, alleged that he called his broker, Respondent Chester B. Marcus, on March 17, 1

N.A.S.D. AWARD NATIONAL ASSOCTATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant NASD Arbitration Prudential Securities, Inc. No. 93-01554 v. Namq flf Respondent Louis Rosalia REPRESENTATION For Claimant: Patricia A. Fitzpatrick, Esq., of Prudential Securities, Inc., New York, New York For Respondent: John Huiskamp, Esq., of Duke, Gerstel, Shearer & Bregante, San Diego, California CASE INFORMATION

NASD Arbitration No. 93-01552 N - A- S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DKAJ^RS. INC. In the matter of the Arbitration Between Name of Claimant(s) Wayne DeFontes Namp of Respondent(s) Olde Discount Corporation Brandon Brooks REPRESENTATION For Claimant: Jeff Dennis Ferentz, Esq. and Michael Huberman f Esq., Greenbaum and Ferentz, Newport Beach, California For Respondent Olde Discount Corporation: Bruce A- Campbell,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD In the Matter of the Arbitration Between Don E. Ehrlich Bruce A. Biddick La Jolla Securities Corporation NASD No. 93-01550 Claimant Respondents Bruce A. Biddick La Jolla Securities Corporation Counterclaimants v. Don E. Ehrlich Does 1 through 20 Counterrespondents REPRESENTATION For Claimant: Gregg Johnson, Esq., San Diego, California For Respondent: Richard L

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael Poolos, Claimant v. Presidential Brokerage, Inc. and Stephen W. Krochta, Respondents Case Number: 00-03652 Hearing Site: San Diego, California REPRESENTATION QF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondents: Gregg A. Johnson, Esq. Attorney at Law San Diego, California CASE INFORM