PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Norma E. Seifried 92-03286 Name of Respondents Prudential Securities, Inc. Robert D. Hedges CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 29, 1992, Claimant Norma E. Seifried, who appeared Pro Se, alleged that in 1985 Respondent Robert D. Hedges, a broker wit

N.A.S.D. AWARD v^/ \^/ u NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. Name of Claimant Joseph F. Pannell No. 92-03255 Name of Respondents Dean Witter Reynolds. Inc. and Mark Loft iflflPR|ji|S]ENTAHQN OF PARTIES Claimant Joseph F. Pannell was represented by Richard E. Charlton, HI, Esq. of the Winchester Law Firm, Memphis, TN. Respondent, Dean Witter Reynolds, Inc. was represented by Edward M. Kaplan, Esq. of Armstrong, Allen, Pre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECU In the Matter of the Arbitration Between Name of Claimants George O. and Leona M. Holm Najne j)f Respondents Piper, Jaffray & Hopwood. Inc. Piper Capital Management Incorporated Lynn Danz Kaye /9SB 92-03244 For Claimants at the hearing: Peter J. Timmons. Esq., Minneapolis, Minnesota. For Respondents at the hearing: Edward J. Pluimer. Esq. of Dorsey & Whitney, Minneapolis. Minnesota. CAS

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. > the matter of the Arbitration Between Name of Claimant Isaac Living Trust, William & Clorinda Isaac, Trustees NASD Arbitration No.92-03241 Name of Respondents Shearson Lehman Brothers, Inc. Gary Fetman REPRESENTATION For Claimant: Randall S. Waier, Esq., Waier & Urtnowski, Newport Beach, California For Respondent Shearson: William A. Hohauser, Esq., Smith Barney, Inc.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Chao Hong Fu, Individually and as Attorney-In-Fact for Mei-Huey Fu and Jen-Kou Fu NASD Arbitration No. 92-03235 Name of Respondent(s) Marc Fink REPRESENTATION For Claimants: Raymond Gaitan, Esq., Greenbaum And Ferentz, Newport Beach, California For Respondent: Mark Fink, Securities America, Inc., Bel Air, Califor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nanqg of Lolita C. Garcia #9243233 Name of Respondents Dean Witter Reynolds, Inc. Julian H. Gingold For Claimant Lolita C. Garcia ("Claimant"): Vincent L. Briccetti Esq. of Briccetti & Calhoun. For Respondents Dean Witter Reynolds, Inc. ("DWR") and Julian H. Gingold ("Gingold"): George D. Sullivan Esq. of Dean Witter Reynolds Inc. CASE INFO

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Namp. of William F. Stephenson, M.D. and Name of Merrill Lynch, Pierce, Fenner & Smith, Inc. RFPRTT.S'ENTAT'ION OF William F. Stephenson, M.D. ("Claimant") was represented by Jeffrey L. Smith, Esq. and Michael E. Lindsey, Esq. of Cohen Brame & Smith, Denver, Colorado. Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") was represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantf s) Fernanda Durban 92-03222 Name of Respondents) Prudential Securities, Inc. PaineWebber, Inc. PUBLIC For Claimant: David E. Shellenberger, Esq. For Respondent PaineWebber, Inc.: Joseph A. Vallo of PaineWebber Inc. For Respondent Prudential Securities, Inc.: Eric Reider of Robinson Silvennan Pearce Aronsohn & Berman.

N.A.S.D. AWARD PUCuC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard Landolt 92-03221 Name of Respondent Gregory W. Kennedy CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 24,1992, Claimant Richard Landolt, who appeared Pro Se, alleged that Respondent Gregory E. Kennedy, while employed by Boettcher & Co., invested his funds in Ke

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Sylvester Patterson Valerie Patterson Names of the Respondents Dalton Kent Securities Group, Inc. Sean Miller David Laurence Avidon Glenn Ivan Beyer Steven Aron Chananya Alan Lloyd Elkes Justyn Seth Feldman David Mugrabi David William Reimer Case Number: 01-02457 Hearing Site: Boca Raton, Florida Nature of the