N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTU1TES DEALERS In the Matter of the Arbitration Between Name of Claimants Orville and Sheila Block - — 91-02775 Name of Respondents Paine Webber, Inc. Stephen Lococo REPRESENTATION For Claimants at the hearing: Barry Lake, Esq., Lincoln, Nebraska. For Respondent PaineWebber at the hearing: Joseph A. Vallo, Esq. of PaineWebber, Inc., Weehawken. New Jersey. For Respondent Stephen Lococo at the hea

N.A.S.D. NRTXCNAL ASSOCIftlTCN OF SECCSTfTSS DEALERS Tn t-ha Mafcl-gr nf t-fao A-HirH-Y-aMnn Raima Kbenig NASD Axbitxati No. 91-02710 vs. Kama of Reapondmfa Shearson Lefcnan Brothers, Inc Mike Frew For dainant: James J. .gsllivan, Esq. For Respondent: Williasi 1. McDonnell, Jr. Esq. reeonl Young & Logan Statement of Halm filed* August 29,1991 dainant's Submission Agreement signed on: August 23, 1991 Joint Statement of Answer and Moti

NASD Arbitration No.91-02682 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Ann Kennedy Foster Name gf Respondent(s) Sutro & Co., Inc. REPRESENTATION For Claimant: Jeffrey M. Jones, Esq., Law Office of Archibald M. Mull, Sacramento, California For Respondent: Daniel D. McMillan, Esq., Jones, Day, Reavis & Pogue, Los Angeles, California CASE INFORMATION St

N.A.S.D. AHARD NKTIONRL ASSOdKTlCH OP SECOBTTIES DEALERS In the Matter of tba Adiitxatioa Between Custom Stainless P r rn1r >f> 'f ^ Co., Inc. Jesse J. Tfcpsoott and Vera M. Sapnoott, Trustees NASD Arbitration No.91-01949 Mama of David Handy James Nielsen For daiaantst James J. Sullivan, Esq. - Investors Recovery Service, Saa Foe Baspcodents: Elizabeth P. Beezley - Keeeal, Young & logan, Lcaog Be*cH, Statement of naia fil

N.A.S.D. ANAKD NKTICNRL ASSOOarXCN OF ^wmuL-i'i-m DEALERS In the Matter of the Arbitration Between of NASD Arbitration No.91-01855 , Inc. Tbcnsss John 0. Frayex For daimant: Paul W. Tbaaaa, Esq. Fur Kespcoueui,: Tiinrjii Yaiidesi, Esq. Saearsoa T^K«T»T» Brothers, Inc. Anended Statonent of rr»< ni filed: April 7, 1992 «fig^ J^xwuBQt signed cat JViDB 5> 1991 Joint Stateaeaat of Answer filed by Respondents on: August 29, 1991 *

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edna E. Hilbert, Individually and as Trustee of the Case Number: 05-03583 Carl G. Hilbert Trust and Edna B. Hilbert Trust, Hearing Site: St. Louis, Missouri Ann Spooner, Individually and as Trustee of the Carl G. Hilbert Trust, and Robert Spooner, Claimants, v, A.G. Edwards & Sons, Inc., Christopher Michael Maddock and Stephen Brent Sutler, Respondents. Nature of the

Award NASD Reaulation. Inc. In the Matter of the Arbitration Between: Rex A. Fletcher, Claimant vs. Olde Discount Corporation, Respondent. Case Number: 99-02232 Hearing Site: Milwaukee. Wisconsin REPRESENTATION OF PARTIES Claimant, Rex A. Fletcher ("Fletcher"), hereinafter referred to as "Claimant", was represented by Michael R. Fitzpatrick, Esquire, of Brennan, Steil, Basting & MacDougall, S.C., Milwaukee, Wisconsin. Respondent, Olde Discount Corpo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03491 Lisa Lanette Morath Name of the Respondent Hearing Site: Dallas, Texas Edward D. Jones & Co., L.P. NATURE OF THE DISPUTE Public Customer vs. Member Firm REPRESENTATION OF PARTIES Claimant Lisa Lanette Morath, hereinafter referred to as "Claimant": Richard A. Lewins, Esq., of the firm of Burg Simpson Eldredge Hersh Jardine P.C.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank D. Newhouse (Claimant) v. Morgan Stanley DW, Inc. and Mark W. Kamann (Respondents) Case Number: 05-03423 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Frank D. Newhouse hereinafter referred to as "Claimant": C. William Brownfield, Esq., C. William Brownfield Attorney At Law, Williamsburg, VA

Award NASD Dispute Resolution Patsy R. Barbee vs. Aura Financial Services, Inc. Case Number: 05-03402 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member RFPRESENTATIQN OF PARTIES Claimant, Patsy R. Barbee ("Claimant"), was represented by Kalju Nekvasil, Esq., Goodman & Nekvasil, P.A., Clearwater, Florida. Respondent, Aura Financial Services, Inc ("Respondent"), was represented by Leon B. Borstien, Esq., The Law Firm o