N.A.S.D. AWARD NATIONAL ASSOCIATION OP Htf.VU I'*' * V-S In the Matter of the Arbitration Between Of Ben Nbvom NASD No. 92-00354 Titan Value Equities Group, Inc. Richard L. Robinson For Claimant: Ricki C. Ring, Esq. - tfls Angeles For Reapcodent: Craig R. Bodonsn, Esq.- Jcnes, Rail, Siapaon & Abbott - Angeles, CBllfc >rrt ^ ii1 Stataient of Halm filed: Much 18, 1392 Claimant's {gnV«H - q ffim Aoxeeoient signiffd o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rudolph & Vivian Kotteraann 92-00950 Name of Respondents Dean Witter Reynolds Inc. Jeffrey A. Hayden For Claimant: Steven J. Card. Esq. of the law firm of Page & Bacek. For Respondent: George Sullivan, Esq. CASE INFORMATION Statement of Claim tiled: March 16, 1992. Claimants' Submission Agreement signed on: February 25,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che Matter of the Arbitration Between Ann E. Pelc Claimant vs. Shearson Lehman Brothers, Inc. A.G. Edwards & Sons, Inc. Respondents CASE #92-00948 AMARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 18, 1992, Claimant Anne E. Pelc, through her counsel Norman R. Freeman, Esq. of Tucson, Arizona, alleged that Respondent Shearson L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cliimantm Alger B. and Isabelle L. Scon Alger B. & IsabeUe L. Scon Trust Case No. 92-00940 Name of Respondent s) Sheen Financial Resources, Inc. Brian J. Sheen First Preservation Capital, Inc. REPRESENTATION For Claimants, Alger B. and IsabeUe L. Scott ("the Scotts"): Robert H. Rex, Esq. of Dickenson. Murdoch. Rex and Sloan.

N.A.S.D. AWARp NATIONAL ASSOCIATION OF SECURITIES DEALERS. ^TNC. In the matter of the Arbitration Between Name of Claimants) Allen E. Castle Barbara A. Castle NASD Arbitration No. 92-00936 Name of Respondent (s) Sutro & Co., Incorporated Bart J. Quigley Jeffery M. Daft For Claimants: Mitchells. Oatwald, Esq., Seaman, Seaman & Ostwald, Sacramento, California For Respondents Sutro & Co., Incorporated and Bart J. Quigley: Gil Se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claipiants Robert J. Deeds Margaret J. Deeds NASD Arbitration No. 92-00931 Name of Respondents Prudential Securities, Inc. Robert Paul REPRESENTATION For Claimants: Robert J. Deeds, Las Vegas, Nevada. For Respondents: J. Douglas Driggs, Esq., Jolley, Urga, Wirth & Woodbury, Las Vegas, Nevada. CASE INFORMATION Stateme

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Norman s. Handler and 92-00925 Name of Respondent Sanford Greenberg REPRESENTATION OP PARTIES Claimant was represented by Michael W. Lillie, Esq., Denver, Colorado. Respondent was represented by Stephen E. Kapnick, Esq. and Neil Ayervais, Esq. of Lohf, Shaiman & Ross, P.C., Denver, Colorado. CA8B INFORMATION T

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert F. Stout, and Robert F. and Katherine A. Stout JTWROS, Claimants v. Foster Jeffries Securities, LLC, Charles John Lemieux, Steven L. Karno, Michael Scott Weiner, Thomas Michael Allegra, Kevin Charles Held, Paul J. Greco, George M. Greco, Jr. and George M. Greco, Sr., Respondents Case No: 99-03115 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES Ro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anita Velez Mitchell Case #: 92-00909 Name of Respondent^) Shearson Lehman Brothers. Inc. Charles Sperrazza REPRESENTATION For Claimant. Anita Velez Mitchell ("Claimant"), Richard Realmuto, Esq. from the law firm of Realmuto & D'Alessio. For Respondents. Shearson Lehman Brothers. Inc.. ("Shearson") and Charles Sperr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between o Al & Helen Barker vs. NASD #92-00908 Name of Respondents Bear Steams & Company, Inc. Allen R. Asker For Claimants: Daniel K. Donahue, Esq., of Brack & Perry, Newport Beach, California. For Respondent Bear Stearns: Terry Ross, Esq., of Keesal, Young & Logan, Long Beach, California. For Respondent Allen Asker: Allen Asker CASE INFORMATI