N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carol Chapman Name of Respondents 93-02862 Prudential Securities Incorporated Name of Third-Party Respondent Austin B. Chapman REPRESENTATION For Claimant: Carol Chapman ("Chapman") was represented by Charles J. Guyselman, Esq. of Lansing, Michigan. For Respondent/Third-Party Claimant: Prudential Securities, Inc. ("Prudenti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Daniel C. Lucas 93-02850 Name of Respondents/Counter-Claimants Robert W. Baird & Co., Inc.; William Parse; Stephen John Timyan REPRESENTATION For Claimant/Counter-Respondent: Daniel G. Lucas ("Lucas") was represented by Bruce M. Bieneman, Esq. of Cholette Perkins & Buchanans, S.C., located in Grand Rapids

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Elliott M. McDowell, Sr. and Dorothy M. McDowell, husband and wife, Claimants, v. Merrill Lynch, Pierce, Fenner & Smith, Inc.; H. Michael Frank; Robert Callaghan; Richard Pello; Sunand G. Bal; Sutro & Co., Inc.; and Hunter A. Sauls, Jr., Respondents. and 93-02837 Merrill Lynch, Pierce, Fenner & Smith, Inc.; H. Michael Frank; Robert Callaghan; Richard Pello; Sut

NA.SJD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name o Helen T. Morgan v. NASD Arbitration No. 93-02832 PaineWebber, Inc and Ralph Hower RFPRFSFNTATTON For Claimant: Helen T. Morgan, Pro Se, Nuevo, California For Respondents: Catherine Pratt, Esq., PaineWebber, Inc., Los Angeles, California CASE INFORMATION Statement of Claim filed: July 27, 1993 Claimant's Submissio

flocxt N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harry F. and Bettie J. Hedlund 93-02826 Name of Respondent Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 20, 1993, Claimants Harry & Bettie Hedlund, who appeared Pro Se, alleged that Respondent Shearson

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cl3JB l ?F 1 t' 5 Mary Lou Sievert, Vito & Helen Ventrella, Leon & Beatrice F. Leyendecker, Patricia Ann Koppers, John & Maijorie Jaegar, Bemice Bloom, Marie & Marianne Cotter, John R., Sylvia K., & Renetta Rimicci 93-03059 (consolidated with 93-04014) Name of Respondents Multi-Financial Securities Corporation, and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Mary Lou Sieveit, Vito & Helen Ventrella, Leon & Beatrice F. Leyendecker, Patricia Ann Koppers, John & Marjorie Jaegar, Bemice Bloom, Marie & Marianne Cotter, John R., Sylvia K., & Renetta Rimicci 93-03059 (consolidated with 93-04014) Name of Respondents Multi-Financial Securities Corporation, and Kenneth Puckett OF PARTIES Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elizabeth J.C. Mullis Naine of Respondents Dominick & Dominick Incorporated; Schneider Securities, Inc.; Correspondent Services Corp . ; 93-028 19 Howard D. Frank; Evan Frank; Del Mar Securities, Inc.; Kevin S. Allen; Mike Niebuhr; Joe Christian; American Aegis Securities; AmeriTrade, Inc.; and RAF Finan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES pEALERS. INC. In the matter of the Arbitration Between DANIEL CUNNINGHAM, Claimant, NASD Arbitration v. No. 93-02814 THOMAS JAMES & ASSOCIATES, INC., RONALD L. WHEET, and ANTHONY CAMPEN Respondents Representation For Claimant: Daniel Cunningham, Rancho Sante Fe, California For Respondent Ronald Wheet (hereinafter, Wheel): Ronald Wheet, Charleston, South Carolina For Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nace Tyson Nickel, Claimant v. Quick & Reilly, Inc., Respondent Case Number: 01-02627 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Nace Tyson Nickel Windsor, California For Respondent: Peter Byer Quick & Reilly, Inc. New York, New York CASE INFORMATION Statement of Claim filed: May 17,2001 Amended Statement of Claim filed: May 1