N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name flf Claimants George Truman Ward and Margaret H. Ward 92-04293 N L ajTjf o/ Reyson dents Dean Witter Reynolds Inc. Scott H. Son REPRESENTATION For Claimants George Truman Ward and Margaret H. Ward ("Claimants"): {Catherine H, Kalinowski, Esq. of the law firm of Baber & Kalinowski, P.C. Fairfax, VA For Respondents Dean Winer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary Foster, as representative of the Estate of Leslie H. Smith 92-04292 Nflme qf Respondents Titan/Value Equities Group, Inc.; Alan Roget REPRESENTATION For Claimant/Counter-Respondent: Mary Foster ("Foster"), as representative of the Estate of Leslie H. Smith ("Smith") was represented by Clinton W. Marrs, Esq. of Kemp, Sm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Chariene P. Mendoza 92-04291 Name of Respondents Prudential-Bache Securities Inc. Robert L. Gorman For Claimant: Chariene P. Mendoza ("Mendoza"): Joel Goodman, Esq. of Goodman and Nekvasil. For Respondents: Prudential-Bache Securities, Inc. ("Prudential") and Robert L. Gorman ("Gorman"): Mark Dobin, Esq. of Boose Casey Cikl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary J. Eandola 92-04288 of Respondents Rickel & Associates, Inc. Ken Rickel Milton Hirsch For Claimant Mary J. Eandola ("Claimant"): Dan A. Druz, Esq., of the law firm of Caron and Koffler, Point Pleasant, New Jersey. For Respondents Rickel & Associates, Inc. ("Rickel") and Ken Rickel ("Mr. Rickel"): Seth Taube, Esq. a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donna L. Marvin 92-04285 Name of Respondents Kidder, Peabody & Co., Incorporated Shearson Lehman Brothers, Inc. Steven Siegel Adrian R. Verzaal REPRESENTATION For Claimant, Donna L. Marvin ("Marvin"): Robert H. Rex, Esq. of Dickenson, Murdock, Rex and Sloan, Boca Raton, Florida. For Respondents, Kidder, Peabody & Co

__ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECimTTTFS DEALERS. INC. In the matter of the Arbitration Between Name nf Claimant Myrone D. Reichman Namg pf Respondents NASD Arbitration No.92-04276 Shearson randan Brothers, Inc. Michael Heir REPRESENTATION For Claimant: Bruce A. Miller, Esq., Mecairie, Louisiana For Respondents: Neil A. Sussman, Esq., Smith Barney Shearson, Inc., New York, New York CASE INFORMATION Statement of Cl

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Onita A. Maison-Luisi & James V. Luisi 92-04273 Name of Respondents Jack White & Co. Inc. Robert O. Reed CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 22,1992, Claimants Onita A. Maison-Luisi & James V. Luisi, who appeared Pro Se, alleged that Respondent Jack

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Joseph O. and Marquerite Lampe 92-04267 Names of Respondents Biltmore Equities & Securities, Ltd Mark P. Malenfant William R. Hecht Kyle Hecht : =- : * REPRESENTATION Claimants, Joseph and Marquerite Lampe were represented by Joseph M. Huey, Esq. of Brandes, Lane & Joffe, P. C.; Phoenix, Arizona. R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant People's Securities, Inc. vs. Case # 92-04264 Name of Respondent Paul A. Spinnato REPRESENTATION For Claimant: William J. Wenzel, Esq. of Pullman & Conley, Bridgeport, Connecticut. For Respondent: Kenneth A. Votre, Esq. of Sklarz Early & Avallone, New Haven Connecticut. CASE INFORMATION Statement of Claim filed: December 18

STIPULATED AWARD NASD Dispute Resolution, Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. x In the Matter of the Arbitration Between UBS/PAINEWEBBER INC., Claimant, NASD Case No. 01-02550 and DAVID W.JACK, Respondent. x REPRESENTATION OF PARTIES Claimant, UBS/PaineWebber Inc., hereinafter referred to as "Claimant": Lisa A. Catalano of the law firm of Davidson, Manchel & Brennan, LLP in New York, New Jersey and Massachus