NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. la the Matter of the Arbitration Between Kfanrif. n Robert J. Shapiro and 944)0154 Mame PaineWebber, Inc. Timothy Grantham OFPARTTRS Robert J. Shapiro ("Claimant") appeared pro se. PaineWebber, Inc. and Timothy Grantham ("Respondents") were represented by Nicholas P. Kapur, Esq., PaineWebber, Inc., Weehawken, New Jersey. r ASP. TMTDPVf ATTfW The Statement of Claim was fi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph and Lorna Seikowe 94-00152 Name of Respondents Invest Financial Corp. Richard Burgio REPRESENTATION For Claimant: Sanford Hausler, Esq., Brooklyn, New York. For Respondents: Eugene B. Harper. Esq. of Invest Financial Corp., Tampa, Florida. CASE INFORMATION Statement of Claim filed: January 13, 1994. Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS * In the Matter of the Arbitration Between Name of Claimants H. Winnfield Stevens Patsy Jo Stevens NASD Arbitration No. 94-00149 Name of Respondents Kemper Securities, Inc. Timothy Neil Taub REPRESENTATION For Claimants: In propria persona For Respondents: A. Brad Busscher, Esq., Vice President and Senior Attorney, Kemper Securities, Chicago, Illinois CASE INFORMAT

N.A.SJ). AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of me Arbitration Between Robert V. Shoemaker & Marjorie L. Shoemaker 94-00147 Name of Respondejiyj Prudential Securities Incorporated; W. C. Skinner; Mark Trevillian REPRJSSENTATION For Claimants: Robert V. Shoemaker and Marjorie L. Shoemaker ("Shoemaker") were represented by Donald M. Fefertnan, Esq. of Feferman & Rehler, L.L.P., located in Corpus Christi, Texas.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Robert L. Culver 94-00144 Name of Respondent(s) A.G. Edwards & Sons, Inc. John Griner REPRESENTATION For Claimant Robert L. Culver: J. Pat Sadler, Esq., of the law firm of Sadler and Associates, Atlanta, GA. For Respondents A.G. Edwards and Sons, Inc. and John Griner: Jeff Jamieson, Esq., in-house counsel

NASD AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Robert Thomas Securities, Inc. Case Number and 94-00142 Name of Respondent Michael E. Murphy REPRESENTATION OF PARTIES For Robert Thomas Securities, Inc. ("Claimant") appeared Joseph A. Vallo, Esq.. a sole practioner, located in New York, New York. For Michael E. Murphy ("Respondent") appeared James M. Reilly, Esq., of Herzog, Engstrom & Koplov

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald R. Berger Linda W. Berger 94-00141 Name of Respondents Gruntal & Co., Inc. David Nichols REPRESENTATION For Claimants Donald R. Berger and Linda W. Berger ("Claimants"): Allen M. Mandelbaum, Esq., of Norristown, PA. For Respondent David Nichols ("Nichols"): Evan L. Gordon, Esq. of New York, NY. For Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ronald W. Mauer 94-00138 Name of Respondent The Chicago Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 13, 1994 Claimant Ronald W. Mauer ("Claimant") who appeared Pro Se, alleged that Respondent The Chicago Corporation ("Respondent"), failed to pay for itemized exp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The DBL Liquidating Trust, successor 94-00383 Name of Respondent Craigie, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1994, Claimant DBL Liquidating Trust, through its in-house counsel, Karen M. Cullen, Esq., alleged that Respondent Craigie,--inc. failed to pay to

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: ft r>f thft Claimant Page Nnmhra-; 01-02922 Kevin Hodgson Name of the. RespnnHents Hearing Site: Milwaukee, Wisconsin Royal Hutton Securities Corp.; Andrew R. Razzore; Jeffrey M. Schofield; and Richard Anthony Scarsella OF Claimant Kevin Hodgson was represented by J. Thomas Haley, Esq., of the firm of Haley Palmersheim, S.C., located in Middleton, Wisconsin.