N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Caryl K. Arckey 94-01675 Name of Respondents PaineWebber, Inc. Robert A. Clark CASE SUMMARY In a-claim filed with the,National Association of Securities Dealers, Inc. on May 5, 1994 Claimant Caryl K. Arckey, who appeared pro se, alleged that Respondents Robert A. Clark ("Clark") and PaineWebber, Inc. ("PW"), made misr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Bear, Stearns 8c Co., Inc. NASD Arbitration #94-01672 vs. Name of Respondent Richard A. Johnson, n REPRESENTATION For Claimant: Philip McLeod, Esq., and Peter J. Morgan, IE, Esq., Keesal, Young & Logan, San Francisco, California For Respondent: Richard A. Johnson, Esq., Payson, Arizona CASE INFORMATION Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mgme nf Claimant Robert L. Kraft 94-01670 Name of Respondent Merrill Lynch, Pierce Fenner & Smith, Inc. For Claimant Robert L. Kraft ("Claimant"): pro se For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") Daniel T. Fitch, Esq. of Stadley Ronon Stevens & Young TASK TTSTFORMATTON Statement of Claim filed: May 4, 1994

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arthur Moak 94-01668 Name of Respondents Nick Bhatti Ann Lowe CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 4, 1994, Claimant Arthur Moak, who appeared Pro Se, alleged that Respondents Nick Bhatti ("Shard") and Ann Lowe ("Lowe") failed to execute a transaction he requested. C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: A. G. Edwards & Sons, Inc., (Claimant) vs. Gary A. Greenberg, (Respondent) Case Number: 01-03037 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, A. G. Edwards & Sons, Inc., hereinafter referred to as "Claimant": Nuviah Shirazi, Esq. A. G. Edwards & Sons, Inc., St. Louis, MO. Respondent, Gary A. Greenberg, hereinafter referred to as "Respondent": Peter H. Abdella,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between i Name of Claimant Omar Aslaoui 94-01664 Name of Respondent Shearson Lehman Brothers, Inc. The Claimant appeared pro se. For Respondent Shearson Lehman Brothers, Inc. appeared Ellen Slipp, Esq., of Shearson Lehman Brother's in-house Counsel. CASE INFORMATION The Statement of Claim was filed on April 18, 1994. Statement of Claim update,

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Charles Sims, Trustee For Edwin Oviatt, II vs. NASDR Arbitration No.94-01663 Name of Respondent S.J, Capital Incorporated G. Stephen Jizmagian REPRESENTATION For Claimant: Patrick Baldwin, Esq., Menlo Park, California For Respondents: William Lukens, Esq., and Thomas F. Chan, Esq., Lukens and Drummond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimant Thomas Roberts Award No. vs. 94-01652 NamejjfResDondent Cantor Fitzgerald, G.P. REPRESENTATION For Claimant, Thomas Roberts ("Roberts"), Stewart Levy, Esq. from the firm of Eisenberg, Tanchum & Levy, located in New York, New York. For Respondent, Cantor Fitzgerald, L.P. ("CF"), Michael Lampert, Esq. from the firm of Saul, Ewi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Jerry Spiegel and Emily Spiegel Foundation, et. ai. 94-01651 Name of Respondents) Dean Witter Reynolds Inc. For Claimants, Jerry Spiegel & Emily Spiegel Family Foundation; Emily Spiegel TTEE 63 Trust FBO Pamela Spiegel U/A/D 5/1/63; Lise Spiegel 1963 T 5/1/63; Emily Spiegel TTEE 63; Trust FBO Carrie Rosenblatt U/A/D 5/1/63; Emil

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Dennis N. Christensen, Claimant, v. No. 94-01650 Shearson Lehman Brothers, Inc., n/k/a Smith Barney, Inc., and Jamie Constantino, Respondents. REPRESENTATION OF PARTIES Claimant Dennis N. Christensen ("Claimant") was represented by Dorothy K. Goodman, Esq., of Barnhill & Goodman P.C., Des Moins, Iowa, and Gale E. Boliver, Esq., of the Boliver Law Firm, Marshalltown, Iowa. Resp