N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between '';., Tanua and Gerald Thieitm vs. NASD #92-03430 Prudential Securities Gabriel Wisdom For Claimant: ShMiFabbri Weiss, Esq. of Gray, Gary, Ames &Frye of Saa Diego. CaHfarra. " • • • • . - • . „ . . . < • . - For Respondents: Patricia A* Htzpatrick, Eaq. of New York. New York CASE S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NjuneofClainiant ••• Richard Peterson 92-03428 Name of Respondent PaineWebber. Inc. CASE SUMMARY . - • * < ••. I •-> ; ... . In a claim filed with the National Association of Securities Dealers, Inc. on October 9, 1992, Claimant Richard* Peterson, who appeared Pro Se, alleged that on February 4, 1992, he signed a self

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Penelope Leonard, Claimant. v. No. 92-03424 Merrill Lynch Pierce Fenner & Smith, Inc., and Tom Marias, Respondents REPRESENTATION OF PARTIES Penelope Leonard ("Claimant") was represented by Donald E. Casey, Esq., of Springer, Casey, Dienstag & Devitt, P.C.. Chicago, Illinois. Merrill Lynch Pierce Fenner & Smith, Inc.. and Tom Marias ("Res

'H/12/2002 10:41 5613619458 JILL WILE PAGE 01/03 _+^ • i Award RECEIVED OCT 232002 in me Matter ol me Arbitration Between: Name of the Claimant Case Number: 01-02470 Prudential Securities, Incorporated Name of the Respondent Hearin£ Site: Boca Raton, FL Walter Alan Tye REPRESENTATION OF PARTIES For Prudential Securities, Incorporated, hereinafter referred to as "Claimant": Steven P. Gomberg, Esq., Rooks, Pitts & Poust, Chicago, Illinois.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dan Knaup 92-03421 Name of Respondents Barry A. Bates Michael Pittman Ralph Pittman Kevin Campbell •. - v i' ' .'. -, '' '' '* CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 8, 1992, Claimant Dan Knaup, who appeared Pro Se, alleged that Respondent Kevin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Boyce 92-03420 Name of Respondents Shearson Lehman Brothers, Inc. Edward H. Welbourn, in William O. Bare, Jr. REPRESENTATION Claimant John Boyce ("Claimant") was represented by Stephen R. Tully, Esq. and Steven Richman, Esq. of Seigel, Tully and Furrer. Respondent Shearson Lehman Brothers, Inc. ("Shearson") was represented By Charl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of CJaimant NASD Arbitration Irene Stone No. 92-03419 v. Name of Respondents Dean Witter Reynolds, Inc. Richard Steele REPRESENTATION For Claimant: Paul N. Young, Securities Arbitration Group, Inc., Marina del Rey, California For Respondent Dean Witter Reynolds: Curt H. Mueller, Esq., Dean Witter Reynolds, Inc., San Francisco, Ca

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimants Patrick & Jody Bernardo 92-03418 Name of Respondents Matbews Holmquest & Associates Mary Martha (Cory) Adams CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 8, 1992, Claimants Patrick & Jody Bernardo by and through their counsel Steven C. Davidson, Esq. of Jeffrey

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maner of the Arbitration Between Name of Claimants Joseph Feigenbaum 92-03417 Name of Respondents High Yield Management Securities. Inc. REPRESENTATION For Claimant. Joseph Feigenbaum ("Feigenbaum"): pro se. For Respondent. High Yield Management Securities, Inc. ("High Yield"): Steve Eitman. Sr. V.P. of High Yield. CASE INFORMATION Statement of Claim filed: 10/8/92.

N.A.S.D. AWARD NATIONAL ASSOqiATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Daniel Wilkinson Kenneth Shull NASD Arbitration NO. 92-03412 Name of Respondents Castle Securities Corp. Barrett Day Securities, Inc. Name of Counter-Claimant/Crogg-Claimant/ Third-Partly Claimant Castle Securities Corp. Name of Cross-Respondent and Third-Party Respondents Barrett Day Securities, Inc.