Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wedbush Morgan Securities, Inc., Claimant v. Barry Hochstein, Respondent Case Number: 01-02695 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Gary L. Holmes, Esq. Wedbush Morgan Securities, Inc. Los Angeles, California For Respondent: Barry Hochstein San Francisco, California CASE INFORMATION Statement of Claim filed on or about: May

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Peter Nawrocki Eugene and Joan Nawrocki Gregory S. Jezard Paul J. Hobaica Case # vs. 93-03517 Name of Respondents Bailey, Martin & Appel Inc Financial Equities Resources, Inc. Mark F. Perron Howard Miller Appel REPRESENTATION For Claimants, Peter Nawrocki, Eugene and Joan Nawrocki, Gregory S. Jezard, and Pa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph F. Torti 93-03512 Name of Respondents Olde Discount Corporation Robert Fairbrothers CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 9, 1993, Claimant Joseph F. Torti, who appeared Pro Se, alleged that on May 29, 1991 he turned over his portfolio to Respondent Rober

N.A.S.D. AWARD NATIQNAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Georgiana Willis NASD Arbitration No 93-03510 Name pf Respondent Legg Mason Wood Walker, Inc. REPRESENTATION For Claimants: In Pro Se For Respondents: Barbara L. Weaver - Vice President - Legg Mason Wood Walker, Inc. CASE INFORMATION Statement of Claim filed: September 9, 1993 Claimants' Submission Agreement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert J. Muir 93-03507 Name of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson, Inc. Alan Rowell CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 9, 1993, Claimant Robert Muir, who appeared Pro Se, alleged that Respondent Smith Barney Shearson,

NASD Arbitration No. 93-03506 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant fs) Linda Diann Bickford Hayes Name of Respondent(a) PaineWebber Incorporated Ken Horwitz REPRESENTATION For Claimant: Linda Diann Bickford Hayes, Valdez, Alaska For Respondents: Catherine J. Pratt, Esq., PaineWebber Incorporated, Los Angeles, California CASE INFORMATION State

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David R. DiCenso Case No. vs. 93-03504 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Lynne Ellen Larson Arthur Edward Rozzero Robert Baker Shaffer, n REPRESENTATION For Claimant, David DiCenso, ("Claimant"), William Filippo, Esq. from the law firm of John N. Calvino Law Associates located in Providen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants George Pucci and Kate Pucci 93-03423 Name of Respondents Bradley Hummel & Co. Phillips Appel & Walden REPRESENTATION For Claimants: Claimant George Pucci appeared pro se, Kate Pucci did not appear. For Respondent Bradley Hummel &< To.: John J. Howard of Wilker, Gottlieb & Howard located in New York, NY. For Responde

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Anna M. DeSanto and Thomas J. DeSanto 93-03416 Name of Respondent Gruntal & Co., Incorporated; Alexandra Kunkle REPRESENTATION For Claimant: Anna M. DeSanto and Thomas J. DeSanto ("DeSanto") were represented by Marshall Patner, Esq of Marshall Patner & Associates, P.C. located in Chicago, Illinois. For Respondent: Alexandr

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Albin T. and Madeline Cerajewski & Patricia Oilman and 93-03412 Name of Respondent Alexandra Kunkle REPRESENTATION OF PARTIES Albin T. and Madeline Cerajewski & Patricia Oilman (collectively as "Claimants") were represented by Marshall Patner, Esq., Marshall Patner & Associates, P.C., Chicago, Illinois. Alexandra Kunkle ("Res