N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name pf Claimants Matthew & Sally Stump Jtten et al. 93-04860 Name of Respondents Brown (Alex) & Sons Incorporated Stephen Gritzan REPRESENTATION Claimants Matthew and Sally Stump appeared at the hearing prose. Respondent Alex Brown & Sons Incorporated ("Alex Brown") was represented at the hearing by Robert E. Patterson, Esq. of Alex Brown

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James £. Zimmer 93-04856 Name of Respondents PaineWebber Incorporated; David Grosshans REPRESENTATION For Claimant: James E. Zimmer ("Zirnmer") was represented by D. Michael Kratchman, Esq. of Southfield, Michigan. For Respondent: PaineWebber Incorporated ("PaineWebber") was represented by Alice K. Jump, Esq. of PaineWe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marc J. Mallis 93-04855 Name of Respondent Raymond, James & Associates, Inc. Name of Thjfd Par^y Respondent Lee Rosen For Claimant: Michael D. Blutrich, Esq. of the law firm of Blutrich & Herman, LLP, New York, New York. For Respondent: Charles P. Pillans, Esq. of the law firm of Bedell, Dittmar, DeVault & Pillans, P. A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sam Drew 93-04854 Name of Respondents Schneider Securities, Inc. Paul Pinholster CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 22, 1993, Claimant Sam Drew, who appeared Pro Se, alleged that Respondent Schneider Securities, Inc. ("Schneider") mistakenly sold out 350

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold W. Chatterton 93-04852 Name of Respondents A.G. Edwards & Sons, Inc. William O. Hammerbeck CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 23,1993, Claimant Harold W. Chatterton, who appeared Pro Se, alleged that Respondents A.G. Edwards & Sons, Inc. and William O.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of John B. Price NASD Arbitration No. 93-04851 Name of Respondents') Smith Barney Shearson, Inc., and David R. Burks REPRESENTATION For Claimant: In Propria Persona For Respondent Smith Barney Shearson, Inc.: Ann Parry, Esq., Vice President, Associate General Counsel, Smith Barney Shearson, Inc., New York, New York For Respondent David

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Norman A. Lajoie and Harriet Lajoie Case# vs. 93-04848 Name of Respondents Dean Witter Reynolds Inc. Declan Martin Maher REPRESENTATION For Claimants, Norman A. Lajoie and Harriet Lajoie ("Claimants"), Evan J. Carter, Esq., from the law firm of Kassler & Feuer, located in Boston, Massachusetts. For Respondents, Dean Wi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Harold Rice Patsy Rice fipe, of Respondents TriQuest Financial, Inc. GMI Securities, Inc. Thomas Kocherhans NASD Arbitration No. 93-04840 REPRESENTATION For Claimants: Richard C. Coxson, Esq., Spanish Fork, Utah For Respondents: TriQuest Financial, Inc. - Charles Whiting GMI Securities, Inc. - Gary L. Lea

Award NASD Dispute Resolution In the Matter of the Arbitration Between: c: 01-02840 Charles and Patricia Ropp nf thp- l^fgnnffftefrfg Hearing Sitpi* Philadelphia, PA Guardian Investor Services Corporation Princeton Equity Securities, Inc. Joan A. Brown Raymond M. Brown Park Avenue Securities, LLC RFPRFSFNTATTOM OF PAHTIF.S Claimants, Charles and Patricia Ropp ("Ropp"). hereinafter collectively referred to as "Claimants'*: Steven M. D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name^of Claimant Jon D. Krupa 93-04784 Name of Respondents Shearson Lehman Hutton, Inc.; and William Dolan REPRESENTATION For Claimant: Jon D. Krupa ("Krupa") was represented by Edward Earl Duke II, Esq. of Pierce Donovan Duke Mordell & Messano, located in Birmingham, Michigan. For Respondents: Shearson Lehman Hutton, Inc. ("Shearson") and