Arbitration National Association of N.A-S.D. JSMfifiD Securities Dealers, Inc. NASD Rnancial Center ASSOCXKnXV OF J-Uj-W l|B>Bg raaupg 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 In the MaLUai of *•**» of dajoHnt uCJOU, < md JUjBBULILB ZSMl 92-00563 Bfaae of Respondents Boxy & Go. David Peters For Claimants John and ELeanore Zawiski ("Claimants 11 ) : Mr. Zawiski appeared for Claimants. For

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SfcOJkiTlKS DEALERS In the Hatter of the Arbitration Between Mame of Claimant Katherine E. 92-00562 Q£ Kidder, Peahody & Co., Incorporated and Stephen P. Dowdney Claimant, Katherine E. nnhan was represented by Frederick D. Hfli Esq. of Helsell, Fettennan, Martin, Todd & HnhMMrwi, Seattle, Washington. Respondents, Kidder, Peabody & Go., Inc. and Stephen P. Dowdney wore represented by William H. Phelp

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00560 AWARD In the Matter of the Arbitration Between A.J. FlaComio Claimant vs. Legg Mason Wood Walker, Inc. Robert Stiles, Jr. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 14, 1992, Claimant A.J. FlaComio, who appeared Pro Se, alleged that Respondents Legg Mason Wood Walker, Inc. and Robert Stil

Arbitration N.A.S.D. AWARD NATICNAL ASSOCIATION OF SBCDRITIES In the Matter of the Arbitration Qf f*1 James R. and Gall S. Dickson Jtonny Plet Barrett Day Securities Inc. National Association of Securities Deaton, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 92-00554 For Claimants, Janes R. and Gail S* Dickson; James R. Dickson. For Respondents, Manny Feit and Barrett Day Securiti

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of the Arbitration Between Margaret R. Roberts Claimant vs CASE #92-00552 AWARD PaineWebber, Inc., : Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 14, 1992, Claimant Margaret R. Roberts who appeared Pro Se, alleged that on February 18, 1986 she opened an account with Respondent, PaineWebber, Inc.,

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael J. Kassel - 92-00550 Name of Fidelity Brokerage Services, Inc. Claimant Michael J. Kassel ("Claimant 11 ) represented himself. Respondent Fidelity Brokerage Services, Inc. ("Respondent") was represented by Michael G. .^harmm, Esq. of the law firm of Summit, Solemn & Feldeanan. Statement of Claim filed on; Februa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stan Collins, Sherrie Collins, and Michael Collins, (Claimants) vs. SG Cowen Securities Corp. and Nicholas Michael, (Respondents) Case Number: 01-01873 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimants Stan Collins, Sherrie Collins, and Michael Collins ( U M. Collins"), hereinafter collectively referred to as "Claimants": Kevin R. McDermott, Esq., Schottenstei

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between . Name of Claimants') Ezra Johnson 92-00545 Name of Respondents) Shearson Lehman Brothers. Inc. The Robinson Humphrey Company. Inc. William L. Effinger. m' Oscar Ayala REPRESENTATION For Claimant Ezra Johnson: Raymond Moss, Esq. and Gregory J. Digel, Esq. of the law firm of Branch. Pike, Ganz & O'CaHaghan. Respondent Oscar Ayala did

N.A.S.D. AWARD ASSOCIATION OF SECORTTXES DEALERS In the Hatter of the Arbitration Between Name of Claimant Paul D. Beernm NftSD Arbitration Mo. 92-00544 Name of Respondents Shearson Lphmnti Brothers, Inc> David. Serxato For Claimant: Richard Sacks, Investors Recovery Service For Respondents : Kathryn L . Krebs , Esq . , Keesal , Young & Togan, Long Roarh California Statement of Claim filed: February 13, 1392 Claimant's Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between T ) Name of Claimant (a) ) === a « 8 == ftBSfe } Charles N. Zalis ) ) Cane No. 92-00540 ) Name of Respondent (s) ) . ) Prudential Securities Inc. ) For Claimant, Charles N. Zalis ("Zalis") : gro se. For Respondent, Prudential Securities, Lac. fka Prudential -Bache Securities, Inc. ("PSI"): Charles T. Richard, Esq