N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Addison Securities, Inc. Bruce Zucker John Stein and 92-02051 Name of Respondent Seymour Bloom OF PARTIES Addison Securities, Inc., Bruce Zucker, and John Stein ("Claimants") were represented by Will S. Montgomery, Esq. of Jenkins & Gilchrist, Dallas, Texas. Seymour Bloom ("Respondent") was represented by Gerald P

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between James D. Mitchell Claimant CASE *92-020» AWARD vs. Dean Witter Reynolds. Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on June 19. 1992. Claimant James D. Mitchell who appeared Pro Se, alleged that on February 12, 1986 be purchased shares of Dean Witter U.S. Governme

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In cr.e Matcer of che Arbitration Between flame of Claimant Keith A. Libbey 92-02048 NamecifRegDondent Shearson Lehman Hutton. Inc. RSgRKSeKTATIOM For Claimant at che hearing: Pro 3e. For Respondent at the hearing: J. David Jackson, Esq. of Dorsey & Whitney,. Minneapolis, Minnesota. CASE INFORMATION Statement of Claim filed by Claimant: June 18, 1992. Claimant's Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Calvin D. Shoemaker and Marcelle Shoemaker JTWROS NASD Arbitration No. 92-02044 Name of Respondents) Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimants: Calvin D. Shoemaker, Los Angeles, California For Respondent: Nicholas R. Piccininni, Esq., Merrill Lynch, Pierce, Fenner & Smith, Lac., New Yor

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimants, Lawence A Wade & L. Wade Enterprises corp. Retirement Plan and Trust vs. Respondent, Charles Schwab & Company Case Number: 99-03205 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, Lawence A Wade & L. Wade Enterprises Corp. Retirement Plan hereinafter referred to as "Claimants" were represented by William Shepard Esq., William S. Shepard & Assoc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Larry A. Richardson; Joan Richardson; JoIarLtd. 92-02043 Name of Respondent J.W. Gant and Associates, Inc. For Claimants: Larry A. Richardson, Joan Richardson and Jolar Ltd. were represented by Anne Marie Finch, Esq. of Thompson & Knight, P.C., located in Houston, Texas. For Respondent: J.W. Gant and Associates, Inc. did not a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Martin W. Gettig 92-02042 Name of Respondents) Shearson Lehman Brothers, Inc. Peyton D. McDonald REPRESENTATION For Claimant Martin W. Gettig: Amy Greer, Esq. of Eckert Seaman, Cherin & Mellot, Pittsburgh, PA. For Respondent Shearson Lehman Brothers, Inc.: Samuel Turvey, Esq., in-house counsel at Shearson Lehman Brot

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name pt' Claimants Charlotte Spikes (formerly Charlotte Eskridge), Individually, and as Trustee of the Eskndge Family Trust, and as Executrix ot the Jonathan Eskndge Estate: Valerie Rainwater (formerly VaJene Eskridge); Ashley Eskridge; and Mary Nell King (formerly Mary Nell Spikes) and 92-02040 Name of Respondents Shearson Lehman Bro

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert F. Niemann FBO Robert F. Niemann IRA 92-02038 Name of Respondent Charles Schwab & Company. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 18. 1992, Claimant Robert F. Niemann. who appeared Pro Se. alleged that Respondent Charles Schwab & Company, Inc. l

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Name of Claimants George and Paul C. Zfcak 92-02036 Name of Respondents Summit Investment Corp. Kevin P. Harris For Claimants: Mark Briol, Esq. and Greg Wilmes, Esq. of Briol & Wilmes, Minneapolis, Minnesota. For Respondents: Ann Exline Starr, Esq. of Summit Investment Corporation, Minneapolis, Minnesota. CASE INFORMATION Statement