N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Joshua Dwork Name of Respondents) Michael Ehrlich APR 12 ^993 Case No. 92-00539 REPRESENTATION For Claimant, Joshua Dwork ("Dwork' 1 ): pro sg. For Respondent, Michael Ehrlich ("Ehrlich"); pro sg-See Other Issues. CASE INFORMATION Statement of Claim filed: February 13, 1992. Claimant's Submission Agreement si

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gregg and Melanie Linn 92-00536 Name of Respondents Prudential Securities Inc Hank Mark Werner REPRESENTATION For Claimant: Martin Jay Siegel, Esq. a sole practitioner. For Respondents, Prudential Securities, Inc. and Hank Mark Werner: Gerard Kowalski, Esq. of Prudential Securities, Inc. CASE INFORMATION Statement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jeffrey Rayden Edward Rayden NASD Arbitration No. 92-00532 Name of Respondent Kober Financial Corp. REPRESENTATION For Claimants: Larry D. Wayne, Esq. - Sherman Oaks, California For Respondent: Rick J. Rouse - Vice President/Compliance - Kober Financial Corp. CASE INFORMATION Statement of Claim filed: February

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Ron Zimmerman 92-00530 Name of Resoondentfs) Dean Witter Reynolds Inc. Nickolas J. Sigalos Derek M. Denhard REPRESENTATION For Claimant Ron Zimmerman: Alexander J. Repasky, Esq. For Respondents Dean Witter Reynolds Inc. and Nickolas J. Sigalos: Paul Stivers, Esq. of the law firm of Rogers & Hardin. For Respondent D

NOU-17-19S3 16 = 08 FROM NPGD-flRBITRATION-CNICfiGO TO 121 .££584141 N.A.S.D.'AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between "~~ James Robinson 92-00528 Name of ftesoondenf jj Rauscher Pierce Refsnes, Inc.; Gaystone Nash, IDC.; Kober Financial Corporation; Finn One; Boucher Oefamke & Quinn; JoeDiPalma; Anthony Casacci For Claimant; James Robinson was represented by A. Bentiey Nettles, Es

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Inez M. Conley Claimant CASE #92-00526 AWARD vs . Henry Fenlon William Lang Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 11, 1992, Claimant Inez M. Conley who appeared Pro Se, alleged that Respondents Harry Fenlon & William Lang of the firm Lang & Co. failed to inform her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeff Lowden, Claimant v. Preston Langley Asset Management, Inc., Robert W. Lisnoff, Jr., Brian Carroll, Joe Digirolamo and J.B. Oxford & Company., Respondents Case Number: 01-01872 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: John C. Breslo, Esq. Knapp & Roberts, PC Scortsdale, Arizona For Respondent Preston Langley Robert W. Lisnoff Jr.

Arbitration N.A.S.D. AWRRD NATIONAL ASSOCIATION OF SBO3RITIES DEALERS In tbe Matter of the Arbitraticn National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 rriinrWrriirr. Inc. vs. # 92-00521 Krlsten larcom Fbr daiannt, PaiaeMefcber, Inc., Jennifer Cccnors, Esq. from tbe flam of PaineWebber, Inc. Respcsxisit, Kristen or a representative d

N.A.S.D. AWARD . . ^ ..^^^L^d NKnCNAL ASSOCIATION OF SBCDRITIES DEALERS, INC. —~— _,! In the Matter of the Arbitration Between < -MN I 9 |QQQ j of *** ' Andrea Kcnig and 92-00518 — -»i Prudential Securities, Inc. CP Claimant Andrea Konig was represented by Stuart C. Goldberg, Esq., Austin, Texas and Stephen J. Grubiss, Esq. of Grubiss & Grubiss, Boulder, Colorado. Respondent Prudential Securities, Inc. was represented by Charles F. Br

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimants/Counter-Respondents Barbara Anzilotti; A & A Court Reporters, Inc. 92-00517 Name of Respondents/Counter-Claimants Shearson Lehman Brothers, Inc.; Esther Villarreal Houser REPRESENTATION For Claimants/Counter-Respondents: Barbara Anzilotti and A & A Court Reporters, Inc. were represented by James R. Leahy, Esq. and Thomas G. Tucker, Esq. of Baker, Brown, Sharman & P