N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara Walters 92-00906 Name of Respondent D. Francis Dasher For Claimant: A. Keith Logue, Esq. of Weinstein, Rosenthal, Tobin & Caldwell. For Respondent, D. Francis Dasher: Daniel I. Maclntyre, Esq. of Wilson, Strickland & Benson, P.C. Respondent, Financial Advisors, Inc. is not a member of the NASD and did not voluntarily

N.A.S.D. AWARD NATIONAL ASSOCIATION GF mas m !•['"< « DEALERS In the Matter of the Arbitration pi ID] ip James and Glenda Zarin 92-00899 F.N. Wolf & Co., Inc. John Shustar Claimants Jones and Glenda Zarin ("daiaanta") Mara rnprneented by Erie P. Schell of tha law firm of David L. Duff, P.C. Respondents P.M. Wolf & Co., Inc. and John Shuster ("Respondents") by TnmBH C. Crosby, Esq. Statement of n«< » filed: March 16, 1992. Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimants Donald R. and Yvonne Gillies and ' 92-00897 Name of Respondents First Choice Securities Corp.. Joseph Torres. Michael K. Howard, and George Cooper OF PARTIES Claimants Donald R. and Yvonne Gillies were represented by Allen Landerman, Esq. of Landerman and Jacobs, P.C., Dallas. Texas. Respondents First Choice Secu

N.A.S.D. AWMZD NKEECNftL ASSOCXATICN OF SBCORITIES CEKZfiRS In the Matter of the Aifcitxatim Alan vs. 92-00891 Name of Respondent(a) Gooan Camodities and Securities, IDC. Xxa daimnts Alan Stataaeot of Halm filed: Matrch 13, 1592 Claimant's -QtiHM< »•< r»» AgzeonBQt signed ens mfc< "»*>» 9, 1992 Statement of Answer filed by Reepoodentat Apcll 13, 1392 bub wece duly served subject to Natlcoal Aseociatlon of Securitiee Dealers, me. QOSD)

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS [n the Matter of the Arbitration Between f Claimant Anne B. Dressier Case No. 92-00888 Name of Respondent Dean Witter Reynolds, Inc. For Claimant, Anne Dressier ("Dressier"): James Keeney, Esq. of Nelson Hesse Cyril Smith Widman Herb Causey & Dooley. For Respondent, Dean Winer Reynolds, Inc., ("Dean Winer") Melinda Herbst, Esq. of Dean Witter Reynolds, Inc. CASE INFORMATION St

N.A.S.D. AWARD NATIONAL ASSOCLATICN CP SUJUKITiKS DEALERS In the Matter of the Arbitration Between ) of Elizabeth Botchis ) ) Case No. 92-00887 Name of Respondent(s) ) ) Castle Securities Corp. ) Douglas Sbebroe } V.P. Securities, Inc. ) Nicholas Perrara ) dadaent, Elizabeth Botchia ("Botchis") pro se. Respondent, Castle Securities, Corp. ("Castle") Charles K. O'Rourke, Esq., Sole Practitioner. Respondent, Douglas Shebxoe (•S

A nr> NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name or' Claimant Michael Siani Name of Respondents Kidder. Peabody &. Co.. Incorporated Maik R. Somito 92-00886 Arbitration National Association of Securities Deatora, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 REPRESENTATION For Claimant: Thomas Brodie. Esq.. solo practioner. For

PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between L. Eloise Hoyt Claimant CASE §92-00885 vs. Smith Barney, Harris Upham & Co., Inc. Herbert T. Hans William Rothmann Richard Selig, Jr. Respondents CASE SIM4ARY In a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1992, Claimant L. Bloise Hoyt who appeared Pro Se, alleged that Respondents Smith Bar

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wesley G. Tobaben, Claimant v. Timothy J. Gramatovich, Smith Barney, Inc. (aka Solomon Smith Barney, Inc.) Frank Dworsky, Nicholas A. Corso, and Peritus Asset Management, Inc., Respondents Case Number: 99-03114 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Elizabeth Lowery, Esq. Fields, Fehn & Sherwin Los Angeles, California For Resp

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00883 AWARD In the Matter of the Arbitration Between Terence K. Gray Claimant vs. Global America, Inc. Joseph Riccio Michael Markowski Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1992, Claimant Terence K. Gray by and through his counsel Michael P. Murray, Esq., Sole Practitioner, Stamford,