PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George Levenderis 92-04362 Name of Respondents Frank DeFrancisco Tom Reichert CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 30, 1992, Claimant George Levenderis, who appeared Pro Se, alleged that during the week of December 7, 1992 he discussed the purchase of

N.A.S.D. AWARD NATIOiNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roy L. Mclntosh Case # vs. 92-04361 Name of Respondents Shearson Lehman Brothers, Inc. Richard Verrochi REPRESENTATION For Claimant, Roy L. Mclntosh, individually and on behalf the Roy L. Mclntosh Professional Association Pension Plan, Thomas H. Tucker, Esq. from the law firm of McGowen, Engel, Tucker, Garrett & Schult

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael Litt and Linda Kahn Case# vs. 92-04360 Name of Respondents, Shearson Lehman Brothers, Inc. Baird, Patrick & Co., Inc. REPRESENTATION For Claimants, Michael Litt and Linda Kahn ("Claimants"), David Hirschberg, Esq., from the law firm of Wexler & Burkhard, P.C. For Respondent Shearson Lehman Brothers, Inc. {"Shea

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Consolidated Matter of the Arbitration Between NanieofClaiinaflts Ramon C. Evenson & Shelly Siemering -00375 & 93-00376 Consolidated Award Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1993, Claimants Ramon C. Evenson and Shelly Siemering, by and through their counse

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Alice K. Lemzen TTEE Alice K. Lentzen Trust, Alice K; Lentzen 92-04350 and Name of Respondents Bear Stearns & Co., Inc., Charles Wright and Bob Hunziker REPRESENTATION OF PARTIES Alice K. Lentzen TTEE, Alice K. Lentzen Trust, Alice K. Lentzen ("Claimant") was represented at the hearing Pro Se. For Respondents Bear Ste

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SEC.I TUmPS nF.AT.ERS. TMC.. la the matter of the Arbitration Between Nam* AnilK. Kuncbor NASD Arbitration No.92-04347 a £ Wiuhirc Diioomit Securities For Claimant: Anil K. Kundrar, Los Angeles, California For Respondent: Phil Pistoii, Wilsbiic Diaootutt Secnritin, Rivenide, California CASK Swemem of Cum filed: December 28, 1992 Claimant's Submission Agreement signed: December S, 1992 Statem

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph D. Keane, (Claimant) vs. Tasin & Co., Inc. and Mitchell Harris Sloane, (Respondents) Case Number: 01-02554 Hearing Site: New York, New York Claimant Joseph D. Keane ("Claimant"): John E. Lawlor, Esq., a sole practitioner, Mineola, NY. Respondent Tasin & Co., Inc. ("Tasin") did not enter an appearance in this matter. Respondent Mitchell Harris Sloane ("Sloane"): Roger J. Schwa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name i of Claimants Raymond. James & Associates, Inc. 92-04345 Name of Respondent Owen G. Parr REPRESENTATION For Claimant, Raymond James & Associates, Inc. ("Raymond James"): John N. Critchlow, Esq., of Raymond James & Associates, Inc. For Respondent/Counterclaimant, Owen G. Parr ("Parr"): pro sg. CASE INFORMATION Statement of

N.A.S.D. AWARD ION OF SECURITIES DEALERS Alvin Kitlica, Jr., Claimants, v. No. 92-04342 David Sonne, Thomas Mahon, and Shearson Lehman Brothers, Inc. Respondents. REPRESENTATION OF PARTIES Claimant Alvin Kitlica, Jr. ("Claimant") was represented by Michael Salcido, Esq., of the Law Offices of Michael Salcido, Phoenix, Arizona. Respondents David Sonne, Thomas Mahon and Shearson Lehman Brothers, Inc. ("Respondents") were represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark S. Muller 92-04341 Name of Respondent Howard. Weil. Labouisse, Friedrichs, Inc. REPRESENTATION For Claimant: Mark S. Muller ("Muller") was represented by Mary Wimbush, Esq. of Mary Wimbush, P.C., located in Houston, Texas. For Respondent: Howard, Weil, Labouisse, Friedrichs, Inc. ("Howard Weil") was represented by Davi