psait.EBfi. TWC. In the matter of the Arbitration Between Mama o George J. xirn, K.D. Nancy T. Xlrn NASD Arbitration Ho. 92-01161 of Ba F.idder, Peabody & Con^any, toe. Gregory F. Wilbur For Claimant* t Steven E. Loquaci, 30q./ Smith & Loquaci, Sao JOM, California For Raipoodentfli Eric 0. Wallia, Saq., Croaby, Raafay, Roach & May, Oalcland, California Statement of Claim filed: March 30, Claimants' Submission Agreement signed

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Gary L. Gisler and Carol L. Gisler and 99-03152 Scottsdale, Arizona Name of Respondents Josephthal & Co., Inc. Stefan Kaplan REPRESENTATION OF PARTIES Gary L. Gisler and Carol L. Gisler ("Claimants") were represented by Robert D. Mitchell, Esq., Mitchell Law Offices, Phoenix, Arizona. Josephthal & Co., Inc. ("Respondent Josephthal") and Stefan Kapl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lewis C. Sehellbach Case #92-01160 Nameof Respondent A. Gary Shilling and Company. Inc. REPRESENTATION For Claimant. Lewis C. Shellbach ("Claimant"). Thomas M. Campbell. Esq.. from the law firm of Smith Campbell & Paduano. For Respondent. A. Gary Shilling and Co.. Inc. ("Respondent"), Robert H. Gardner. Esq. from the law fi

AWARD NASD Regulation, Inc. Office of Dispute Resolution NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ernest D. (Bud) Olson 92-01158 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc Michael Putnam REPRESENTATION Claimant was represented by A. Russell Janklow, Esq. of Johnson, Heidepriem, Miner & Marlow of Sioux Falls, SD and John E. Burke, Esq. of Sioux Falls, SD.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECrmmBS DEALERS In the Matter of the Arbitration Between Name of Claimant(g) Leo Rovin, Individually and as Trustee NASD Arbitration No. 92-01151 Name of Respondeqt(s) Shearson Lehman Brothers, Inc. Gregory C. Thompson REPRESENTATION For Claimant: Leo Rovin, Costa Mesa, California For Respondents: Gregory E. Copeland, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMATION

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between; DELORES ROSE, Estate of JAMES A. ROSE, LAURA NOBLE, JANICE DUSTIN, JAMES ROSE, JR., DAVID ROSE and MARK ROSE, PUBLIC claimants. NASD File No. 92-01148 AWARD v. DEAN WITTER REYNOLDS, INC. and PETER J. CLARK, Respondents. For Claimants: REPRESENTATION Anthony v. Trogan, of weisman, Trogan, Young & Schloss, p.c. For Respondents

N.A.S.D. AHARD ASSOCIATION OF awV^'' L ''t*H in the Matter of the Arbitration Between name of < " r i«'h«imt(8) Sharlene Betty Hamilton vs. 92-01139 Dean Witter Reynolds Inc. n j'JTTmnfr. b Betty ttanriifon, San Fbr RaipcDdflDt Dean Witter Bcyoolda Ifios MM laoqpaxt, Esq., Bernan, Bei±ley & of Claim filedt April 1, 1992 Claimant's fi"i*** y< Mg ^ ff> i Agxvenont ff^J^^H ons Much 24» 1992 Statement of Ans

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-01138 AWARD In che Matter of the Arbitration Between William H. & Mary Lou Wilkinson Claimants vs. Shearson Lehman Brothers, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April l, 1992, claimants William H. & Mary Lou Wilkinson, who appeared Pro Se, alleged that in 1986 Respondent Shearson Lehman Brothers,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Beauregard A. Foumet. Jr. and Kathlyn D. Foumet 92-01137 Name of Respondent Interstate/Johnson Lane Corporation REPRESENTATION For Claimant: Beauregard A. Foumet. Jr. and Kathlyn D. Foumet were represented by Herman C. Hoffmann. Jr.. Esq. of Simon. Peragine. Smith & Redfearn. located in New Orleans. Louisiana. For Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimants) Charles & Edith Newfieid 92-01136 Name of Respondent s) Interstate Financial Group PCC Advisory Corporation Michael D. Mathias Gerald S. Berger Gerald S. Berger. Inc. For Claimants Charles & Edith Newfieid: Andrew Himrnel, Esq., sole practitioner. For Respondents Interstate Financial Group, PCC Advisory Corp., 'Michae