NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In Che Matter of the Arbitration Between Pickering Insurance Services Money Purchase Pension Plan V9. Linsco/Private Ledger Corp. Charles Porrello Claimant CASE #92-00059 AWARD Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 7, 1992, Claimant Pickering Insurance Services Money Purchase Pension Plan through its represent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC 1 In the Matter of the Arbitration Between" Name of Claimant Phillip S. Johnson and 92-00056 Name of Respondents Williams Buchanan & Co., Inc. and Avery Don Trumbo REPRESENTATION OF PARTIES Claimant was represented by Paul W. Talbot, Esq. of Seeligson & Steinberg, Dallas, Texas. Respondent Williams Buchanan & Co., inc. was represented by Jay Gibson, Esq. of True & Roh

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00055 AWARD In the Matter of the Arbitration Between Vincent E. Cuccio Claimant vs. Dean Witter Reynolds, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 7, 1992, Claimant Vincent E. Cuccio, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. failed to follow his instructions to not allow hi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Cfaimantf s^ Paul & Monica Harvey Case NO. 92-00052 NajneofResrondentts} Dixon Dale Cruickshank Claimants, Paul and Monica L. Harvey ("the Harveys"): were PTQ $£. Respondent, Dixon Date Cruickshank ("Cruickshank"): was PJQ 5fi. CASE INFORMATION Statement of Claim filed: February 7, 1992. Claimants' Submission Agreement signed: April 2, 1

N.A.S.D. AHKKD OF -S)**Aft* 1 ' l ' TBg DEAl£RS In the Matter of the Arbitration Between of Brice Wesley Baath NASD Arbitration No.92-00051 Bear Steams & CD. , Inc. Bryan A. Perry ES< J., For RespcDdaats: Brian Zagca, Bag., Kaaeal, Young & Logan, San Franci Statanant of n»< « filedt January 7, 1992 Claimant's Sufcndsalon Agreeneat signed cot Ti^-mAw 30, 1991 Joint Statement of Anawer filedt February 7, 1992

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants - - Elisabeth Schulte and Ray Schulte 92-00045 Name of Respondents Legg Mason Wood Walker. Inc Terry Eisert CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 7, 1992. Claimants Elisabeth and Ray Schulte, who appeared Pro Se, alleged that they seldom trade and only

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Henry Goedtel 92-00037 Name of Respondents Kober Financial Corp. Randolph Kahl-Wuner REPRESENTATION For Claimant: John A. Vizzi, Esq. of Long, Tuminello, Besso, Seligman & Quinlan. For Respondent, Kober Financial Corp.: Rick J. Rouse of Kober Financial Corp. For Respondent, Randolph Kahl-Winter: Randolph Kahl-Winter, appear

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Murray & Muriel Bems (Deceased) Case No. 92-00035 Name of Respondent^ Shearson Lehman Hutton, Inc. Kevin M. Peters For Claimants, Murray Berns and Muriel Bems ("the Beras'"): Stephen R. Ponder, Esq. of Kinsey Vincent Pyle. For Respondents, Shearson Lehman Hutton, Inc. ("Shearson") and Kevin M. Peters ("Peters"): Harry T.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas Elliott, James A. Fisher, Jr., and Margaret M. Fisher, (Claimants) vs. Westle Securities, LLC, Marin Asset Management, LLC, Presidio Capital Management, LLC, Joel Westle, and Richard Westle, (Respondents) Case Number: 99-02953 Hearing Site: Philadelphia, Pennsylvania REPRESENTATION OF PARTIES Claimants, Thomas Elliott ("Elliott"), James A. Fisher, Jr. ("J. Fisher"), and

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith Inc 92-00034 Name of Respondent Ivory Adolescent Center, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1992, Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc., by and through their counsel Gregory A. Pierce, Esq. of Gi