PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 92-02629 NameofResQondent Howard Watson CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on August 7. 1992, Claimant PaineWebber, Inc.. through it's in-house counsel, Garry J. Stegeland, Esq., alleged that Respondent Howard Watson refused to return a certificat

\ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc 92-02628 Name of Respondents Kathryn Shaifer Carl H. Shaifer Name of Third Pany Respondents Global America. Inc. Michael Markowski REPRESENTATION For Claimant Prudential Securities. Inc. ("Claimant"): Richard A. Miller. Esq. of the law firm of Katten. Muchin & Zavis For Kathryn Sh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Henry Heth No. 92-02627 Name of Respondents Jeny Kopf Kessler Asher Clearing, Inc. Name of Third Party Respondent Steven Solomon For Claimant: Brian K. Lowe, Investors Arbitration Services, Inc. For Respondent Jerry Kopf: James L. Schwartz, Esq. of Schwartz and Sachse, P.C., Chicago, Illinois. For Respondent Kessie

N.A.SrD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Albert L. Barbara 92-02625 Name of Respondents) Reich & Co., Inc. Paul Fitzgerald REPRESENTATION For Claimant: Dan Brecher, Esq. For Respondent Paul Fitzgerald: Edward J.M. Little, Esq. of Zuckerman, Spaeder, Goldstein Taylor & Kolker. For Respondent Reich & Co.. Inc.: Maria Lubienski Ciokajlo. Esq. of Cadwalader

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Michael Christy V. Shearson Lehman Brothers, Inc., Gruntal & Co., Inc., Richard Patterson Case Number; 99-3294 Hearing Site: Detroit. Michigan REPRESENTATION OF PARTIES Claimant, Michael Christy ("Christy"), hereinafter referred to as "Claimant": Anthony V. Trogan, Esq, Weisman, Trogan, Young & Schloss, P.C., Bingham Farms, Michigan. Respondents, Shearson Lehman Brothers, Inc. ("Lehma

NASD Arbitration No. 92-02621 N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES pEALERS. INC. In the matter of the Arbitration Between Name of Claimant(si Margaret Yeo Name of Respondent(3) PaineWebber Incorporated John A. Koch REPRESENTATION For Claimant: Timothy L. Taggart, Esq., Bloomington, California For Respondents: Judy Louie, Esq. and Scott M. Ratchick, Esq., PaineWebber, Incorporated, Los Angeles,. California CASE TNTORM

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Winters Owe No. 92-02620 Najpe of Respondents Merrill Lynch Pierce Fenner & Smith Inc For Claimant, John Winters ("Winters"): Hugh Stevens, Esq. of Everett Gaskins Hancock & Stevens. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch"): Paul W. Stivers, Esq. of Rogers & Hardin. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^) Russell E. Relyea, Trustee Treasure Valley X-Ray, Inc. Richard G. Fedrizzi, Individually and as Trustee J.L. Terteling, Trustee NASD Arbitration No. 92-02619 Name of Respondents') Oppenheimer & Co., Inc. William F. Gillis REPRESENTATION For Claimants: Patrick J. Miller, Esq., Givens, Pursley, Webb & Huntley, B

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Monika L. Reakiit 92-02613 Name of Respondent Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 6, 1992, Claimant Monika L. Reakiit, who appeared Pro Se, alleged that Respondent Prudential Securities, Inc. failed to credit $2,000.00 to her ac

NATIONAL ASSOCIATION oy ^BC^JRITXES DE In the Matter or the Arbitration Between Michael Braverman Cue No. 92-02611 Namfr of Semondeiflf rt Larry Heehtman For {Claimant, Michael Bravennan ("Braverraan"). Adrienne Geortc-Bli*des, Esq., and Mark Raymond, Esq. of Tew and Gtrcia-Pedrosa. For Respondent, Larry Heehtman ("Heehtman"): Lloyd R. Schwed, Esq. of Carlson Bales ft Schv/ed. CASE iNfORMATION otatemem of Claim filed: August 5, 1992. Claiman