N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 93-00947 Name of Respondent Anthony E. Terrano CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 12, 1993, Claimant Prudential Securities, Inc., by and through their counsel David L. Becker, Esq. of Kutak Rock, New York, NY, alleged that on or about June

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Lingsrh Family Trust Edwin & Ann T.ingsch. Trustees NASD Arbitration No. 93-00941 nf Respondents Gruntal & Co., Inc. Scott R. Udine Lyle Gary Frank Napolitano Tom Connell REPRESENTATION For Claimant: Richard Sacks - Investors Recovery Services For Respondents: W. Reece Bader, Esq. - Orrick Herrington &

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Clfljmatif g Gertrude R. and Daniel M. Krauss 93-00938 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Kerry R. Truckly CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 11, 1993, Claimants Daniel M. and Gertrude R. Krauss, who appeared Pro Se, alleged that Claimant

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 00-03587 William and Eula B. Lewis i Names of the Respondents Hearing Site: New Orleans, LA Lincoln Financial Advisors Corporation Gregory B. JD'Quin Charles A. Prince ! REPRESENTATION OF PARTIES I ^=^=r=^m^^^^^m^^B^=c==^=g For William! and Eula B. Lewis, hereinafter collectively referred to as "Claimants": Wayne Milnfer, Esq., Jackson, MS and Er

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert E.Leib Name nf the Respondent First Union Securities, Inc. k/n/a Wachovia Securities, Inc. Case Number; 00-00367 Hearing Site: Philadelphia, Pennsylvania RRPRKSKNTATION OF PARTTP.S Claimant Robert E. Leib, hereinafter referred to as "Claimant", was represented by Larry M. Keller, Esq., Sidkoff, Pincus & Green, P.C., Philadelphia, Pennsylva

^ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Dean Witter Reynolds. Inc. \ 93-00937 Name of Respondent Panfilo Guglielmi REPRESENTATION For Claimant: Dean Witter Reynolds, Inc. ("Dean Witter") was represented by Reggie C. Giffen, Esq. of Morrison & Hecker, located in Kansas City, Missouri. For Respondent: Panfilo Guglielmi ("Guglielmi") did not appear. CASE INFORMATI

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jack D. Zeff 93-00936 Name of Respondents Biltmore Securities, Inc. Alex Barletta David J. Woodruff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 11, 1993, Claimant Jack D. Zeff, who appeared Pro Se, alleged that on August 14, 1992 he executed a new account f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rebha D. Piitt 93-00934 ^ Name of Respondents Prudential Securities, Inc. Rick S. Kirkinis CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 11, 1993, Claimant Rebha D. Plitt, by and through her counsel Barbara K. Olson. Esq. of Dickenson, Murdoch, Rex and Sloan, Boca Raton

MAY i 9 j&'Or-i.'b N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jack Kotkin and Kris Alter 93-00930 Name of Respondents Jim Skorton Pacific Southern Securities, Inc. Otra Clearing/Reynolds Kendrick Straton REPRESENTATION Claimants, Jack Kotkin ("Kotkin") and Kris Alter ("Alter") were pro se. Respondents, Jim Skorton ("Skorton") and Pacific Southern Securi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lloyd I. Edgerly 93-00922 Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION For Claimant: Morris J. Levin, Esq., a sole practitioner, Washington, D.C. For Respondent: Douglas P. Lobel, Esq. of Dechert Price & Rhoads, Washington, D.C. CASE INFORMATION Statement of Claim filed: March 9, 1993. Claiman