Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patrick J. Schachle, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Michael M. Miremadi, Respondents Case Number: 05-04420 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Douglas A. Ames, Esq. Law Offices of Douglas A. Ames Huntington Beach, California

X.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mame of Morton Morrison Leona Morrison No. 92-02325 Name of Respondents Dean Witter Reynolds. Inc. Marie Richmond REPRESENTATION QF PARITIES Claimants appeared {us 5£- For Respondents: Linda Poole, Esq., and Curt Mueller, Esq., of Dean Witter, Reynolds, Inc., San Francisco, California. CASE INFORMATION Statement of Claim filed o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mauer of the Arbitration Between Name of Claipianjs James V. Leinweber Jean Leinweber vs. NASD #92-02321 Name of Regpopd,entq Piper, Jaffray & Hopwood, Inc. Jaime Liable For Claimants: Robert N. Dompier, Esq. of Schimanski, Leeds & Co/and of Spokane, Washington . For Respondents: Frederick D. Huebner, Esq. of Helsdl, Fetterman, Martin, Todd &. Hokanson of Seattle, Washi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Seymour H. Bernstein 92-02318 Name of Respondent Prudential Securities Inc REPRESENTATION For Claimant: Seymour Bernstein, appearing Pro-Se. For Respondent: Gerard J. Kowaiski. Esq. of Prudential Securities Inc. CASE INFORMATION Statement of Claim filed: July 13. 1992. Claimant's Submission Agreement signed on: June 19.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Texas Commerce Financial Services, Inc. 92-02315 Name of Respondent/Counter-Claimant Arthur W. Hall REPRESENTATION For Claimant/Counter-Respondent: Texas Commerce Financial Services, Inc. was represented by Terry Knell of Texas Commerce Financial Services, Inc., Houston, Texas. For Respondent/Counter-Claimant

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03241 Maurice Murad and Curtis Bargesser, claimants vs. Josephthal & Co., Inc. and John P. Lamoureux, respondents. ATTORNEYS: Claimants Maurice Murad ("Murad") and Curtis Bargesser ("Bargesser"), (collectively, "Claimants"), appeared Pro Se., Fresno, California. For Respondents Josephthal & Co., Inc. ("Josephthal") and John P. Lamoureux ("Lamoureux") (coll

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John C. Wilson Revocable Living Trust 92-02305 Name of Respondent Waterhouse Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 13, 1992. Claimant John C. Wilson, through his counsel, Philip Armknecht, Esq., of Reese & Armknecht, P.C., Red Oak, Iowa, alleg

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between "~~ Name of Claimant Anthonv Granelli 92-02301 Name of Respondent^ J.W. Gam and Associates. Inc.: Kun Novey; Robyn Reagan REPRES For Claimant: .Anthony Granelli was represented by Lawrence H. Packard in Esa of Lake Jackson, Texas. ' ^' ^^ For Respondents: J. W. Gant and Associates, Inc. did not appear at hearing. Robyn Reagan was re

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Calvin R. Swinson 92-02300 Name of Respondents Shearson Lehman Brothers. Inc. Peter Middlekauf Linda Drummond CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 13. 1992. Claimant Calvin R. Swinson. who appeared Pro Se. alleged that Respondent Shearson Lehman Broth

NASD Arbitration No. 92-02298 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Urantia Corp. Name of Respondent(s) Gilford Securities, Inc. REPRESENTATION For Claimant: Paul Monka, Urantia Corp., Beverly Hills, California For Respondent: Christopher J. Benz, Gilford Securities, Inc., Los Angeles, California CAgE INFORMATION Statement of Claim filed: July 10, 19