N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. 92-04137 Name of Respondent Michael Fakih RF.PRFSF.ATTATION For Claimant: Dean Witter Reynolds, Inc. ("Dean Witter") was represented by Mark R. Werder, Esq. of Honigman Miller Schwartz and Conn, located in Detroit, Michigan. For Respondent: Michael Fakih ("Fakih") was represented by Walter L. Baumgard

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roberta Chapey Case# vs. 92-04136 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc. Frederick B. Mitchell, m Claimant, Roberta Chapey, was not represented by counsel. For Respondents, Merrill Lynch Pierce Fenner & Smith, Inc. ("MLPF&S") and Frederick B. Mitchell, M ("Mitchell"), Dominick Evangelista, Esq., from t

12/02/02 MON 12:55 FAX NASD REGULATION 1002 AWARD NASD Dispute Resolution In. the Matter of the Arbitration Between Name of Claimants Greg McMahon and GE Associates, LLC and 01-02520 Phoenix, Arisorm Name of Respondents Joseph Charles & Associates, Inc. Charles; J. Fabiang OF PARTIES Greg McMahon and GE Associates, LLC ("Claimauts") were represented by Michael Salcido, Esq,> Renaud, Cook & Druiy, P.A. a Phoenix, Arizona.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant! Steven & Tncey Crookea 92-04133 Hibbard Brawn & Company Inc. Rufus Cheater m CTTMVf A In a claim filed with the National Association of Securities Dealers, IDC. on December 8, 1992, Claimant* Steven * Tncey Crookci, who appeared Pro Se, alloyed thai Respondent Rufus Chester m, while employed by Respondent HlbbenJ Brown A C

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward D. & Marian S. Hengerer 92-04132 Name of Respondents Dean Winer Reynolds Inc. Stella Lewis CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 8, 1992, Claimants Edward D. & Marian S. Hengerer, who appeared Pro Se, alleged that Respondent Stella-Lewis, while

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant California Water Holding, Ltd. 92-04131 Name of Respondent Shearson Lehman Brothers. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on December 12. 1992, Claimant California Water Holding, Ltd. through its representative, Thomas J. Adams, alleged that Respondent Shearson

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofCJaimants Steven and Elizabeth Hooper 92-04129 Name of Respondent Oppenheimer & Co.. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 8, 1992, Claimants Steven and Elizabeth Hooper who appeared Pro Se, alleged that from October, 1988 to September. 1989 they entered into three investm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTOS DEALERS^, In the Matter of the Arbitration Between ." i , . J. Name of Claimants Norman and Dolores Pubanz 92-04127 of Respondens Merrill Lynch Pierce Fenner & Smith Inc Terry Gordon Cleaves For Claimants, Norman and Dolores Pubanz ("Pubanz*): James R. Leone, Esq. For Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("ML") and Terry Gordon Cleaves ("Cleaves"): George J. Felos, Esq.

N.A.S.D. AWARD \ATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Greg Pierog 92-04118 Name of Respondents Dean Witter Reynolds Inc. Steve McDevitt REPRESENTATION For Claimant Greg Pierog ("Claimant"): Christopher Loveil, Esq. For Respondents Dean Witter Reynolds, Inc. ("Dean Witter") and Steve McDevitt ("McDevitt"): Alexander Bono, Esq. of the law firm of Blank, Rome, Comisky & McCau

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Paul and Antoinette Sue Sharkey 92-04111 Name of Respondents Shearson Lehman Brothers, Inc. Edward V. Kelly For Claimants Paul and Antoinette Sue Sharkey ("Claimants") appeared Walter D'Ull, Esq., New York City, NY. For Respondents Shearson Lehman Brothers, Inc. ("Shearson") and Edward Kelly ("Kelly") appeared Pete S. Mich