NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Stephen M. Meadows and Allen R. Crawford, Claimants, v. NASD No. 93-02005 Kidder Peabody & Co., Inc. Respondent Representation For Claimant: Bruce Safran, Esq., Sherman Oaks, California For Respondent: William Phelps, Esq. of Kidder Peabody & Co., Los Angeles, California Case Information Statement of Claim filed: June 23, 1993 Claimant's Submiss

NASD AWARD NATIONAL ASSOCIATION OF SECURTnES DEALERS In the Matter of the Arbitration Between Name of David Loggins 93-01972 Name of Respondents Cohig & Associates, Kober Financial Corp., Richard M. Gawlik, Richard Rouse and Charles Pankey a/k/a/ Charles V. Pankey OF PARTIES Claimant David Loggins ("Claimant") was represented at the hearing by Noel Guardi, Esq., Denver, Colorado. Respondents Cohig & Associates ("Cohig") and R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Stephen Collins 93-01958 Name of Respondent Great Northern Insurance Annuity Corporation For Claimant Stephen Collins ("Claimant") appeared Donna B. Ford, Esq., from the law firm of Byrd R. Brown, located in Pittsburgh, Pennsylvania. For Respondent Great Northern Insurance Annuity Corporation ("Respondent") appeared Edward Noonan, Esq., fro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Robert M. Brittingham and John G. Brittingham 93-01956 Names of Respondents Goldman, Sachs and Company and Steven Adams RRPRF.SENTATION Claimant, Robert M. Brittingham was represented by J. Dennis Weitzel, Esq. of and Timothy A. Duffy, Esq. of Burleson, Pate & Gibson, Dallas, Texas and Morgan W. Bentley, Esq. of Newar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Farra M. Alford 93-01951 Name of Respondents Shearson Lehman Brothers, Inc. Arthur J. Robbins REPRESENTATION Claimant Farra M. Alford ("Alford") was represented at the hearing by Charles C. Mihalek, Esq. of Lexington, Kentucky. Respondents Shearson Lehman Brothers, Inc. ("Shearson") and Arthur J. Robbins ("Robbins") wer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Josef Granwher, and Gabriela Granwher, Claimants, v. No. 93-01947 R.G. Dickenson & Co. n/k/a Dickenson & Co., Respondent REPRESENTATION OF PARTIES Josef and Gabriela Granwher ("Claimants") were represented by Bruce Pearson from Fargo, North Dakota. Respondent Dickenson & Co. ("Respondent") was represented by Catherine Gnatek, Esq. of Dorsey & Whitney, Minneapolis, Minnesota.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Herbert S. Geist Case No. vs. 93-01942 Name of Respondent Texas Capital Securities, Inc. REPRESENTATION For Claimant, Herbert S. Geist ("Claimant"), Steven W. Wolfe, Esq., from the law firm of Kantor, Davidoff, Wolfe, Rabbino, et ah, located in New York, New York. For Respondent, Texas Capital Securities, Inc. ("Respond

Stipulated Award NASD Dispute Resolution, Inc. Jie Matter of the Arbitration Between Name of Claimant Peter T. McHugh Case No. 00-00863 Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Jon Nelson Roberts REPRESENTATION OF PARTIES For Peter T. McHugh, hereinafter referred to as "Claimant": Jerry R, Everhardt, Esq., Raleigh, North Carolina. For Merrill Lynch, Pierce, Fenner & Smith, Inc. ("MLPFS") and Jon Nelson Roberts^

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lorna Middendorf; Alloran, Inc.; SEP-Lorna Middendorf of Alloran, Inc. 93-01329 Name of Respondent Paula Brown, n/k/a Paula Brown Studaker REPRESENTATION For Claimants: Lorna Middendorf ("MiddendorF); Alloran, Inc. ("Alloran"); and SEP-Lorna Middendorf of Alloran, Inc. ("SEP") were represented by Walter L. Baumgardner, Esq. of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fred L. Schaff 93-01326 Name of Respondent Ferris, Baker Watts Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 2, 1993, Claimant Fred L. Schaff, who appeared Pro Se, alleged that he held an IRA account with Respondent Ferris, Baker Watts, Incorporated from July 1991