NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between JOSEPH FIERLING AND ELLEN FIERLING, Claimants, v. NASD No. 94-2327 WEDBUSH MORGAN SECURITIES, INC., AND RONALD RICE, Respondents. Representation For Claimant: John Bender, Esq. of Weiss, Jensen, Ellis & Botteri, Seattle, Washington For Respondent: Thaddeus Paul of Keesal Young & Logan of Seattle, Washington Case Information Statement of Claim fi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of. Claimant John B. Lewis 94-02320 Name of Respondents Shearson Lehman Brothers, Inc. (n.k.a. Smith Barney, Inc.) Martin J. Bannon, III REPRESENTATION Claimant John B. Lewis ("Claimant") was represented at the hearing by David R. Simonsen, Jr., Esq. and Vicki A. Verwey, Esq. of the Law Firm of David R. Simonsen, Jr. Respondent She

In the Matter of the Arbitration Between: Todd Seewald, Claimant v. First Union Securities, Inc., Morgan Stanley Dean Witter, and Marc Feldman, Respondents Case Number: 01-03174 Hearing Site: Boca Raton, Florida For Todd Seewald, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Law Offices of Darren C. Blum, Plantation, FL. For Respondent First Union Securities, Inc. ("FUS"): Brian A. Carlis, Esq., Stark & Stark, P.C., Lawrenceville, NJ. For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Darin J. Lieber 94-02317 Name of Respondent(s) Brown & Company Securities Corporation REPRESENTATION For Claimant, Darin J. Lieber ("Lieber") appeared Andrew Rossman of Akin Gump Strauss Hauer & Feld, L.L.P. For Respondent, Brown & Company Securities Corporation ("Brown") appeared Barry Fischer of Bernkopf, Goodman & Bas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 94-02313 Name of Respondent David Fleischer REPRESENTATION For Claimant Prudential Securities, Inc. appeared Jill A. Byrne, Esq. with the law firm of Kutak Rock, Washington, D.C. For Respondent David N. Fleisher appeared Norris D. Wolff, Esq. of the law firm of Kleinberg, Kaplan, Wolff & Cohen, "

Case Number 94-02310 ^ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Claimant Reich & Co., Inc. Respondent Jeffery Zieger R]fiPRF.SF.NTATIQN Claimant, Reich & Company, Inc. ("Reich"), Martin Karlinsky, Esq. in-house counsel located in New York, New York. Respondent, Jeffrey Zieger ("Zieger"), appeared pro se. CASE INFORMATION Claimant's Statement of Claim was filed on: June 8,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS !n the Matter of the Arbitration Between Name of Claimant Reich & Co.. Inc. Name of Respondent Stuart Laurence Davis 94-02309 REPRESENTATION For Claimant, Reich & Co., Inc. ("Claimant"), Martin E. Karlinsky, Esq. located in New York, NY. For Respondent, Stuart Davis ("Respondent"), Alan Serrins, Esq. of the law firm of Dienst & Serrins, located in New York. NY. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ronald and Carol Magnuson 94-02308 Name of Respondent Jeffrey S. Goldstern REPRESENTATION For Claimants Ronald and carol Magnuson ("Claimants"): Stephen T. Gannon, Esq., McSweeney Burtch & Crump, Richmond, VA. For Respondent Jeffrey S. Goldstern ("Respondent"): Edwin A. Zipf, Esq., Brassier Amery & Ross, Florham Park, NJ.

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between PRUDENTIAL SECURITIES, INC. Claimant and Counter-Respondent, v. NASD No. 94-2305 ARVID LOCKENSGARD, Respondent and Counter-Claimant. Representation For Claimant: Patricia Fitzpatrick, Esq. of Prudential Securities, Inc., New York, New York For Respondent: Louis DeMers, Esq. of DeMers, Callison & Donovan, Sacramento, California Case Information State

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kemper Securities, Inc. 94-02368 Name of Respondent Erik R. Hansen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 21, 1994, Claimant Kemper Securities, Inc., through its representative A. Brad Busscher, Esq., alleged that Respondent Erik R. Hansen, entered into a Trainee Agreemen