N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of r!l Roy Dinwiddie Elizabeth Dinwiddie NASD Arbitration No. 92-04187 o Resondents Dean Witter Reynolds, Inc. Brad Vorhees lane Doe Vorhees REPRESENTATION For Claimant: John Miller, Esq. - Lynwood, Washington For Respondent: Brad Vorhees - Janet T. Love, Esq. - Dean Witter Reynolds, Inc., San Francisco, California For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard A. and Kellie Y. Becker, Richard A. Becker Roth IRA and Kellie Y. Becker Roth IRA, Claimants v. Hampton-Porter Investment Bankers, John W. Laurienti, Gregory Du Bois Walker, James D. Green, Jr., Niels C. Djernaes, and Michael W. Losse, Respondents Case Number: 01-02533 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jeffrey A. Feldman, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fernando Valverde Case No. 92-04184 Name of Respondents Prudential-Bache Securities Inc. Fernando G. Leyva * REPRESENTATION For Claimant, Fernando Valverde ("Vaiverde"): Dyanne E. Feinberg, Esq. of Gilbride, Heller & Brown. For Respondents, Prudential Securities, Inc. ("PSI") and Fernando G. Leyva ("Leyva"): Delmer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George Ryder Kemp 92-04178 Name of Respondents Smith Barney Harris Upham & Co., Inc. Richard R. Shalla. Jr. For Claimant, George Ryder Kemp, ("Kemp"): Robert H. Rex., Esq. of Dickenson, Murdock, Rex and Sloan. For Respondents, Smith Barney, Harris Upham & Co., Inc. ("Smith Barney") and Richard R. Shalla, Jr. ("Shaila"): Lar

PUBUC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofCJaimant Hal S. Crawford 92-04176 J.W. Gant and Associates, Inc. Hanifen, Imhofflnc. aA^ 11,1992, Claimant Hal S, Crawford, who appeared Pro Se, alleged that he was induced into making a stock purchaseby Respondent J.W. Ganf ant Associates, Inc. stockbrokers whereby be was led to believe that ChatfieW Dean was helping with this

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank J. Barnes Case No. 92-04170 Name of Respondents • Summit Investment Corporation Steven J. Henricks t - For Claimant,. Frank J. Barnes ("Barnes"): Michael G. Flanagan, Esq. ... For Respondents, Summit Investment Corporation ("Summit") and Steven J. Henricks ("Henricks"): Frank A. Taylor, Esq. of Popham, Haik, Schnobric

12-21-1994 04:10PM FROM NflSD flrbitration/Chicago TO 12128503974 P.02 N.A.S-D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Billy S. and Martha L. Haynes 92-04169 of Respo Waddell & Reed, Inc. Richard C. Bousum For Claimants at the hearing: Scott £. Tarter, Esq. of Henderson, Daily, Withrow & DeVofc Indianapolis, Indiana. For Respondent, Waddell & Heed, Inc. at the hearing

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Elizabeth Sobol Case No. vs 92-04152 Name of Respondent Kidder, Peabody & Co., Incorporated REPRESENTATION For Claimant Elizabeth Sobol ("Sobol 11 ) appeared Jeffrey L. Liddle, Esq., of the law offices of Liddle & Robinson located in New York, New York. For Respondent Kidder, Peabody & Co., Incorporated ("Kidder Peabody") appeared Mark S. Di

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Clai Ray Roberts No. 92-04149 Name of Respondents Gruntal & Co., Inc. James Cox REPRESENTATION OF PARTIES For Claimant: Nicholas P. lavarone, Esq., of Bellows and Bellows, Chicago, Illinois. For Respondents: Kimberly Unger, Esq., of Gruntal & Co., Inc., New York, New York. CASE INFORMATION Statement of Claim filed on or about: December 8, 1992. Claimant's Submission Ag

N.A.3.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corlyn L. Althouse Case No. 92-04148 Name of Respondent Samuel R. Jones REPRESENTATION For Claimant, Corlyn L. Althouse ("Alehouse"): pm 5£.. For Respondent, Samuel r. Jones ("Jones"): pro 53. CASE INFORMATION Statement of Claim filed: December 8, 1992. Claimant's Submission Agreement signed on: December 3, 1992. St