N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Dimitri C. Catsaros Dimitri and Linda Catsaros TTEES Dimitri Catsaros/Pension Plan 92-03220 Name of Respondent PaineWebber. Inc. Claimants, Dimiiri and Linda Catsaros were represented by Daniel J. Brooks, Esq. of Layton, Brooks & Hecht, New York, New York. Respondent, PaineWebber, Inc. was represented by Joseph A. Vallo,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edwin G. Cevallos 92-03212 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 23, 1992, Claimant Edwin G. Cevallos, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. charged his account excessively, which he did

tfa N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark Huseby vs. NASD #92-03204 Name of Respondents Kemper Securities Steven P. Sacramone REPRESENTATION For Claimant: Mark Huseby of Las Vegas, Nevada For Respondents: William D. Nelson, Esq. of Robinson, Waters, O'Dorisio & Rapson of Denver, Colorado CASE INFORMATION Statement of Claim filed: September 22,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gerald W. and Nancy R. Barnard 92-03201 . Name of Respondent Charles Schwab & Company, Inc. For Claimants Gerald W. and Nancy R. Barnard ("Claimants"): Gerald W. Barnard For Respondent Charles Schwab & Company, Inc. ("Respondent"): Richard S. Dangcrtleld. Associate General Counsel for Charles Schwab & Company, Inc. CASE IN

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George K. Schopp 92-03194 Name of Respondent Shearson Lehman Hutton. Inc. For Claimant. George Kenneth Schopp ("Schopp"): pro 50. For Respondent. Shearson Lehman Brothers, Inc. ("Shearson"): Robert J. Kuker, Esq. of Neai Gerber & Eisenberg. CASE INFORMATION Statement of Claim filed: September 21, 1992 and amended on March 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sam L. Evans & Phyllis Evans 92-03192 Name of Respondent Merrill Lynch, Pierce. Fenner & Smith. Inc. REPRESENTATION For Claimants: Sam L. Evans and Phyllis Evans were represented by Timothy M. McDaniel, Esq. of Houston, Texas. For Respondent: Merrill Lynch, Pierce, Fenner & Smith, Inc. was represented by Jack D. Ballard, E

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael Ventry and Mary Louise Ventry 92-03188 Robert Thomas Securities, Inc. William Btedsoe CASE SUMMARY In a claim filed with the National Associate Claimants Michael and Mary Louise Ventry, who appeared Fro Se, alleged that on September 5, 1991 they were solicited by Respondent William Bledsoe, an agent of Respo

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Estate of Willie Copeland. Rebie Morrow as Administratrix 92-03186 Name of Respondent Shearson Lehman Brothers, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 22, 1992, Claimant Rebie Morrow, Administratrix of the Estate of Willie Copeland, by and through

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sara Bachman Ducey 92-03183 Name of Respondents Olde Discount Corporation Terry Wrightson REPRESENTATION Claimant Sara Bachman Ducey ("Claimant") was represented by: John A. Ritchie, Attorney at Law. Respondents Olde Discount Corporation and Terry Wrightson ("Respondents") were represented by: Mark L. Kowalsky, Esq. of

N.A.S.D. AWARD Qtl\ NATIONAL ASSOCIATIOM OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Boyd H. Anderson, Jr. as Successor TTBB and Lawrence Larche, Executor, Frederick A. Heitman Estate Case No. 92*03466 and 92-04030 Consolidated Name of Respondents >r Dean Witter Reynolds, Inc. Smith Barney Harris Opham & Co., Inc. Earl Miller RIPRESEHTATXOH For Claimants, Boyd H. Anderson, Jr. as Successor TTB