N.A.S.D. AWARD NXTXQffiL ASSOCUT1CN OF SECQRITHS DEALERS Artel t"Fa*"< nr» No. 92-00695 Ibluea Pacific Securities, Inc. William M. Al\ For Claimant! H. Toones Fehn, Sag. of Fields, Pebn & Sherwia • Los Angeles, For Saepoadent, Ibluea Pacific Securities, Inc.: Sbeldm M. Jaffe, Esq. - lam Angeles, For Respondent, William M. Alvezaca - In Pro Se Statement of CUdia filed: February 25, 1992 daiaant's SubuLssica Agreenent signed ca: February 12, 1

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00694 AWARD In the Matter of the Arbitration Between Benjamin J. Wood Claimant vs. Alfred Pietrangelo John Chepak Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 25, 1992, Claimant Benjamin J. Wood, who appeared Pro Se, alleged that in August 1990 Respondent Alfred Pietrangelo, an Account Executive

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITliS DEALERS In the Matter ci the Arbitration Between Name of Claimant Heciwig K. Samelko 92-00689 Name of Respondents Alex Brown & Sont». Incorporated Michael McCarthy Claimant Hedwig K. Samelko ("Claimant ') represented herself. Respondents Alex Brown & Sons. Incorporated ("Alex Brown") and Michael McCarthy ("McCarthy") were represented t>y Robcit E. Patterson, Assistant General Counsel at A

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che Matter of che Arbitration Between Velma Dallas & Ellen Wiggins JTWROS Claimants vs. Prudential-Bache Securities, Inc. Betty Saunders Respondents CASE #92-00686 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 25, 1992, Velma Dallas and Ellen Wiggins who appeared Pro Se, alleged that Respondent Betty Saunders recommende

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Peter R. and Carol L. Bonano 92-00678 Name of Respondents Arthur Hanks Ted Kerch CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 25, 1992, Claimants Peter R. and Carol L. Bonano, who appeared Pro Se, alleged that Respondents Arthur Hanks and Ted Kersh misrepres

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Adam A. I. Lowe vs. NASD #92-00677 Name of Respondents Dean Witter Reynolds, Inc. For Claimant: Carroll Melton of Arbitration Consultants, Woodland Hills, CA For Respondents: Diane Irvin, Esq. of Jones, Bell, Simpson & Abbott of Los Angeles, CA CASE INFORMATION Statement of Claim filed: February 25, 1992 Claimant's Submission Agreem

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00675 AWARD In che Matter of the Arbitration Between Karl & Elaine Katz Claimants vs. Shearson Lehman Brothers, Inc. James G. Carroll Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 25, 1992, Claimants Karl & Elaine Katz, who appeared Pro Se, alleged that in January 1990 they contacted their Financi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard L.H. Keeling; Betty J. Keeling; Estate of Connne H. Lewis 92-00672 Name of Respondents Merrill Lynch. Pierce, Fenner & Smith. Inc. Richard F. Lord REPRESENTATION For Claimants: Richard L.H. Keeling, Betty J. Keeling and the Estate of Connne H. Lewis were represented by G. Wade Caldwell. Esq. of San Antonio. Tex

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant!(si. Ruth V. Rosenauer and Mark D. Lannin Ruth V. Rosenauer, as Custodian for: Mitchell R. Lannin, Teresa A. Scott and Robert N. Scott NASD Arbitration No. 92-00670 Name of Respondent(s) David L. Rush Daniel J. DeGowin Shearson Lehman Brothers, Inc. Oppenheimer & Co., Inc. REPRESENTATION For Claimants

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dana L. Fuller, Jr., and Dana L. Fuller Manufacturing Co. (Claimants) vs. Frank M. Orrell, Orrell & Co., Inc., Matthew Neal, and Does 1 through 100, inclusive (Respondents). Case Number: 99-03068 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES For Claimants: Thomas A. Trapani, Esq. Rankin, Sproat, Mires & Trapani Oakland, California For Respondents F