N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Margaret M. Fieschko and 92-02813 Name of Respondents Bear Steams & Co., Inc. Kevin Haag REPRESENTATION OF PARTED Margaret M. Fieschko ("Claimant") was represented by Peter B. Schaeffer, Esq., Chicago, IL. Bear Steams & Co., Inc. and Kevin Haag ("Respondents") were represented by Nicholas P. lavorone, Esq. of Bellows

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Name of Claimant Pueblo of Jemez 92-02810 Name of Respondents Dean Witter Reynolds, Inc.; Scott R. Grady REPRESENTATION For Claimant: Pueblo of Jemez was represented by Luis Stelzner, Esq. and Timothy M. Sheeban, Esq. of Sheehan, Sheehan & Stelzner, P.A., located in Albuquerque, New Mexico, and David R. Yepa, Esq. of Albuquerque, New Mexico

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert and Barbara Devoti #92-02808 Name of Respondent Michael G. Hohner For Claimants Robert and Barbara Devoti ("Claimants"): Miland K. Gregory, a sole practitioner. For Respondent Michael G. Hohner ("Jlohner"): Mr. Hohner was not present at the hearing nor represented by counsel. CASE INFORMATION Statement of Claim file

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alfred L. and Bemice E. Licari 92-02800 Name of Respondent Werlitz Securities Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 20. 1992. Claimants Alfred L. & Bemice E. Licari, through their counsel. Dale P. Aho, Esq. of Aho & Potti, Farmington, MI. alleged that Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward and Rita Foon 92-02799 Name of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc.; Sidney Kogan REPRESENTATION For Claimants: Edward and Rita Foon (Toon") were represented by Anthony V. Trogan, Jr., Esq. of Weisman, Trogan, Young & Schloss, P.C., located in Birmingham, Michigan. For Respondents: Merrill Lynch, P

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lavinia J. Grady 92-02792 Name of Respondents Shearson Lehman Brothers. Inc. William Martin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 19, 1992, Claimant Lavinia J. Grady, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, Inc. through it'

N.A.3.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. Consolidated cases < 3&Q295§!and 92-02957 Name of Respondents Robert M. Racusen (92-02956) Mark Karambelas (92-02957) ttlj'.PRFJjiENTATION For Claimant, PaineWebber, Inc. at the hearing: Tom Mierswa, Esq. of PaineWebber, Inc., Weehawken, New Jersey and Martin Hookstra, Esq. of PaineWebber, Inc., Chicago

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Equity Homes, Inc. Profit Sharing Plan 92-02788 Name of Respondents Ferris, Baker Watts Incorporated Dexter M. Davis REPRESENTATION For Claimant Equity Homes, Inc. Profit Sharing Plan ("Claimant"): James J. Doyle, III, Attorney at Law For Respondents Ferris Baker Watts, Inc. and Dexter M. Davis (jointly referred to as "

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Helene Sandra Myers 92-02787 Name of Respondent Janney Montgomery Scott Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 19, 1992, Claimant Helene Sandra Myers, who appeared Pro Se, alleged that on March IS, 1991 she closed her IRA account with Mellon PSFS Bank at which time

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-02432 Dennis J. Donnelly, claimant vs. H.D. Vest Investment Securities, Inc., respondent. ATTORNEYS: Claimant/Counterclaim Respondent appeared pro se, Donaldsonville, LA. For Respondent/Counterclaim Claimant appeared in-house counsel, R. Bredt Norwood, Esq., Irving, TX. DATE FILED: May 9, 2001 CASE SUMMARY: Claimant/counterclaim respondent alleged that respondent/counterclaim claiman