N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Beverly Ravitz and Frances Smith 91-03772 Name of Resoondentf si Gruntal & Co., Inc. Lee Firpo REPRESENTATION For Claimants, Beverly Ravitz ("Ravitz") and Frances Smith ("Smith"): Michael R. Casey, Esq. of Casey and Molchan, P.A. For Respondent, Gruntal & Co., Inc. ("Gruntal"): Eric Hutner, Esq. of Gruntal. For Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03743 AWARD In che Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Tom Carlisle Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 26, 1991, Claimant, PaineWebber, Inc. by and through their in-house counsel, Garry J. Stegeland, Esq., alleged that on or about December 14, 1984 Respondent Tom Carlisle,

N.A.S.D. Regulation, Inc. AWARD NASD Regulation In the Matter of the Arbitration Between Name of Claimant(s) Donald Zucker Edward Jackowitz 91-03634 Name of Respondent(s) Smith Barney, Inc., f/k/a Shearson Lehman Brothers, Inc., f/k/a E. F. Button & Co., Inc. REPRESENTATION For Claimants Donald Zucker and Edward Jackowitz: Robert B. Miller, Esq. and N. Fraser Schuh, Esq. of Muskat, Odessky, Miller & Schuh, P.A., Miami, Florida. F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants J. Robert Horrigan Gwendolyn Horrigan NASD Arbitration No. 91-03548 Name of Respondents John R. Smith Kidder, Peabody & Co. REPRESENTATION For Claimant: Gregg A. Johnson, Esq. - San Diego, Ca. For Respondent: William H. Phelps, Esq. - Kidder, Peabody & Company CASE INFORMATION Statement of Claim filed: November

N.A.S.D. AWARD NATXCNAL ASSOdRITICK OF -SiJJUU I'l' 1 ^ In the Matter of the Arbitration. Between name of Claimant Catherine M. anith, NASD Arbitral-log No. 91-03457 its M. Ted Birr, UX Jaanetta Anne Beet For Claimant: Richard Sacks • Investors Recovery Service - Nbvato, Ca. For Respondent: Robert J. Stunpf, Esq. -Branson, Branson & McELnooa, San Francisco, Ca. StatsMnt of Halm filed: Hbwnber 4, 1391 Claimant's ft^arfgp^n

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Lois M. and Robert C. Anderson NASD Arbitration No.91-03141 Name of Respondents Shearson Lehman Hutton, Inc. Michael Kramer REPRESENTATION For Claimants: David Robbins, Esq., Kaufinann Gildin & Karlin, New York, New York For Respondents: Michael M. Gless, Esq., Kcesal, Young & Logan, Long Beach, California CASE I

N.A.S.D. t ASSOCXA^TCtT OP SHUURi'i'i HM DEALERS In the Matter of the Arbitration Between Mama of Hide 91-03103 Merrill Lynch, Pierce Fenner & Smith, IDC. , Bide FOOT ft^Tnamtet Gregory G. Maler, Esq. of rc-i< *it»TrfrK i wi & Meier, 'Rilsa, Oklahoma. For Respondent Merrill Lynch, Piarca Fecnar & .Smith, Inc.: Dennis M. Pape, Eaq. of MarrlU Lynch, Pierce Fenner & flitlt-h. Inc., Hew Toodc, Hew YotJc. For Respondent Ride Brennes: Ttodd

Arbitration N.A.S.D. AWARD National Association of Securities Dealers, Inc. NATIONAL ASSOCIATION OP SHUJRITIES DEALERS NASD financial Center 33 Whitehall Street in the Matter of tha Arbitration Between Name of Claimants George & Irene Surblan Case # vs. 91-03096 Name of Respondents Ernst & Company Cenpac Securities, Inc. For Claimants, George & Irene Surabian ("Claimants") , Louis N. Massery, Esq. from the law firm of Cooley Mani

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arlo H. Judd 91-03031 Names of Respondents Texakoma Oil & Gas Corporation, Texakoma Financial, Inc., Dean R. Kennedy, Richard J. Kennedy and Scott Kennedy REPRESENTATION Claimant, Arlo H. Judd was represented by G. David Westfall, Esq. of Dallas, Texas. Respondents, Texakoma Oil & Gas Corporation, Texakoma Financial, Inc., Dean

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Mary G. Johnson, -:_. Claimant vs. Case No. 99-02947 Ryan, Lee & Co., Inc. Preston Mulford Wayne M. Lee Patrick C. Ryan, Respondents Hearing Location: Washington, D.C. REPRESENTATION OF PARTIES Claimant Mary G. Johnson ("Claimant") was represented by Mark J. Krudys, Esq., Mark J. Krudys, PLC, Richmond, Virginia. Respondents Ryan, Lee & Co., Inc.(