PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClainjant Loretta Eichenberg 92-03401 Name of Respondents Kidder. Peabody &. Co., Incorporated Alpbonso Becena CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 7, 1992, Claimant Loretta Eicbenberg, by and through her counsel Gayte J. Carson, Esq., Sole Practitioner, Brecksvi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of (^laimgnt(s) Robert D. Lewis dba ABC Investments & Collections NASD Arbitration No.92-03397 Name of Respondents) Charles Schwab & Company, Inc. REPRESENTATION For Claimant: J. Michael Anthony, Esq., San Rafael, California For Respondent: Bruce C. Judge, Esq., Steefel, Levitt & Weiss, San Francisco, California CASE INFORMATIO

N.A.S.D. AWARD MATIQNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Robert W. Sparks and Mary A. Sparks NASD Arbitration No.92-03396 Name of Rqspqfldent(s) Atlanta One. Inc. Craig Cunningham REPRI^SENTATION For Claimants: Robert W. Sparks, Ventura, California For Respondents: Robert L. Conn, Esq., Newport Beach, California CASE INFORMATION Statement of Claim filed: October 7,

Arbitration N.A.S.D AWARD National Association of Securities Deaters, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street Mew York. N.Y. 10004 : FAX 1212) 858-4389 In tiie Matter or the Arbitration Between Name of Claimanus) G. Townsend Underbill, m. Esq. 92-03390 Name of Respondents) J.W. Gam & Co. REPRESENTATION For Claimant: G.Townsend Underbill, m of Tiplett, Underbill, Jennins &

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of tne Claimant James L. Rogers Tsfome nf the "Respondents American Investment Services, Inc.; Mark Skertich r- 01-02467 Hearing Siter Indianapolis, Indiana OT? Claimant James L. Rogers ("Rogers") was represented by Mark E. Maddox, Esq. of the firm of Maddox Koeller Hargett & Caruso, located in Indianapolis, Indiana. Respondent American Investment Serv

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Frank P. Lyons, (Claimant) v. Morgan Stanley Dean Witter, Marc Terris and Tim O'Brien, (Respondents) Case Number: 00-00839 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Frank P. Lyons ("Lyons"): James R. Carter, Esq., Carter Law Offices, Peoria, Illinois. Respondents Morgan Stanley Dean Witter ("Morgan Stanley"), Marc Terris ('Terris")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Paul G. & Connie M. Schorr, JTTEN 92-03388 Name of Respondents J.W. Gant & Associates Colin Bruce CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 7, 1992, Claimants Paul & Connie Schorr, who appeared Pro Se, alleged that Respondent J.W. Gant & Associates, through it'

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant John R. Lindung vs. Case # 92-03387 Name of Respondent Alex Brown & Sons, Inc. REPRESENTATION For Claimant ("Claimant"): Stephan R. Tully, Esq. of the law firm of Siegel, Tully & Turner. For Respondent Alex Brown & Sons, Inc. ("Respondent"): Daniel E. Mclntryre, Assistant General Counsel at Alex Brown & Sons. Inc. CASE INFO

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant All Shamaei Zadeh 92-03384 Name of Respondents Prudential Securities Inc William Michael Roach Mary Miller • €ASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 7, 1992, Claimant Ali Shamaei Zadeh by and through his counsel James P. McCrocklin, Esq., Sole Practit

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS to the Matter of me Arbitration Between Dora B. Bishop, L. Greer Bishop & IRA 92-03378 F,N. Wolf* Co., Inc. Sherwood Capital, Inc. REPRESENTATION For Claimants: Guy Bums, Esq. and Bruce W. Barnes, Esq. of Johnson, Blakcly, Pope, Bokor, Rnppel & Bums, P.A., Tampa, FL. HOT Respondent, Sherwood Capital, Iqc., ("Sherwood"): Jeffrey P. Flynn, Esq. of Ciummy, del Deo, Dolan, Griffinger & Ve