08/12/02 10:49 FAX 312 236 9239 OFFICE OF DISPUTE RES i]002 ' -. . 312 236 9339 AWARD NASD Dispute Resolution, Inc, In the Matter of the Arbitration Between Name of Claimant Kirkpatrick, Pettis, Smith Polim, Inc. and 01-02919 Denver, Colorado Robert Nevarez A Kirkpatrick, Pettis, Smith. Polian, Inc. ("ClaimaBt") was represented by James M Bausch, Esq, and Tracy A. Oldemeyer, Esq. of Ciine, Williams, Wright, Johnson & Oldfather, L.L.P. lo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Tedmund L. Gean Siew Hong Lim NASD Arbitration No. 94-00344 Name of Respondent(s) Charles Schwab & Co., Inc. Randall Kirk REPRESENTATION For Claimants: Tedmund L. Gean, Los Angeles, California For "Respondents! --Thomas R. Freeman, Esq., Bird, Marella, Boxer, Wolpert & Matz, Los Angeles, California CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between *, Name of Claimants Robert V. and Marian Dorian 94-00135 Name of Respondents J.B. Hanauer & Co. Jeffrey Bukantz REPRESENTATION For Claimants Robert V. Dorian and Marian Dorian ("The Dorians"): William Ponsoldt, Esq. of Kohl Metzger Spotts, P.A., Stuart, Florida. For Respondents J.B. Hanauer ("Hanauer") and Jeffrey Bukantz ("Buk

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Beverly Mitchell, Trustee, on behalf of the Lebowitz Family Trust and Beverly Mitchell, Trustee, on behalf of the NW/RC Charitable Remainder Trust 94-00134 Names of Respondents Bear, Stearns & Company, Inc. and Billy Solomon REPRESENTATION Claimant, Beverly Mitchell, as trustee on behalf of the Lebowitz Family Trust and t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard R. Storer 94-00128 Njme of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney, Inc. Shane Mathe Charles Phelps Charles I. Smith CASE SUMMARY In a claim riled with the National Association of Securities Dealers, Inc. on January 6, 1994, Claimant Richard Storer, who appeared Fro Se, alleged that Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Gale C. Long, Claimant, v. No. 94-00126 John Rosenow, and Rauscher Pierce Refsnes, Inc. Respondents REPRESENTATION OF PARTIES Claimant Gale C. Long ("Claimant") was represented by Sharyl L. Poulson, Esq., Scottsdale, Arizona. Respondents John Rosenow and Rauscher Pierce Refsnes, Inc. ("Respondents") were represented by Joel P. Hpxie, Esq., and Christopher J. .Littlefield, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between • Name of Claimant Clark Overbeck Case No. 94-00123 Name of Respondent Lew Lieberbaum & Co., Inc. For Claimant, Clark Overbeck ("Overbeck"): Louis D. Putney, Esq. and James L. Watson, Esq., of Tampa, Florida. For Respondent, Lew Lieberbaum & Co. , Inc. ("Lew Lieberbaum"): Lawrence P. Sandor, Esq., Corporate Counsel, New York, New York.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Janet K. Wilson and Nancy M. Matthews and 94-00122 Name of Respondent Toluca Pacific Securities Corporation Robert L. Stormes REPRESENTATION OF PARTIES Janet K. Wilson and Nancy M Matthews ("Claimants") were represented by John D. Phillips, Esq., Hall & Evans, L.L.C., Denver, CO. Toluca Pacific Securities Corporation ("Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between o Cl Robert and Robert Mark McAllister, JTWROS 94-00121 Name of Respondents Robert Thomas Securities Richard Vigsnes REPRESENTATION OF PARTDZS Claimants Robert and Robert Mark McAllister ("the McAllisters") were represented at the hearing by J. Michael Fitzsimraons, Esq. of Fitzsimmons, Robert & Paine, of Chicago, Illinois, and by James J.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James J. and Margaret T. McGarrity 94-00112 Name of Respondents Robert Todd Financial Corporation Robert Fallah Mitchell P. Conlon REPRESENTATION Claimants James J. and'Margaret T. McGarrity ("Claimants") were represented by J. Jerome Olitt, Senior Arbitration Specialist and House Counsel for Arbitrator and Mediation Speci