Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Hamilton Hall and MiekleSyme Hall, Claimants v. Morgan Stanley Dean Witter and Joseph Paul Schlater, Respondents Case Number: 01-01862 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Gary S. Lapidus, Esq. Law Offices of Gary S. Lapidus San Francisco, California For Respondents: Gilbert R. Scrota, Esq. Howard Rice Nemerovski Canady

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Caroline Park Homes Defined Benefit Pension Plan Sommers and Messmer Properties James P. Sommers Robert Messmer Case No. 91-01592 Name of Respondents) Kemper Securities Group, Inc., as successor to Gulfstream Financial Associates, Inc. and Boettcher & Co., Inc. Kemper Securities Group Holdings, Inc. Kemper Financial

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Diana Altwein 91-01586 Name of Respondents Dean Witter Reynolds, Inc. William Katz REPRESENTATION For Claimant, Diana Altwein ("Altwein"): Richard Levenstein, Esq. of Heimberg, Heimberg, Rader, & Levenstein. For Respondents, Dean Witter Reynolds, Inc. ("DWR"), and William Katz ("Katz"): George Sullivan, Esq. of DWR.

N.A.S.D. AWARD NATIONAL ASSCdATICN OF SECDRXTSS DEALERS - In the Matter of the Arbitration Between of Hiram & Henrietta Walker, 91-01584 Name of Respondent (3) Cowies, Sacol & cSpany, Inc., William Sendnario, Jfolly Carol Wilson William Sabol For Claimant: Frederick D. Eh"**!"^, Esq. of HSlsell, Fetteaanan, Martin, Tbdd & Hbkanson For Respondent: Carl J. Carlson, Esq* of Talnadge and Cutler Respondent, Molly Carol Wilson, did not

PBBtlC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. CASE f91-01582 AKUQX In the Matter of the Arbitration Between Lonnie G. Funderburke Claimant vs. Maione & Associates, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 21, 1992, Claimant Lonnie G. Funderburke who appeared Pro Se, alleged that Richard C. Avon, a registered representative with Respondent Malone & Ass

Arbitration ® National Association of N.A.S.D. AWftKD Securities Dealers, Inc. NASD Financial Center NKTICNAL ASSOCIATION OP SECURITIES DEALERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Iii the Matter of the Arbitration. Between of Claimant Mary K. Britt & Estate of James A. Britt 91-01580 Name of Respondents A.G. Edwards & Sons, Inc. Roger Kreuzer For Claimant: Kent Eldridge, Esq. of the law firm of Kent Eldrid

N.A.S.D. AWARD NXETCNAL ASSOCIATION OF SHLURITIBS DEALERS in the Matter of the Arbitration Between ) ) name of n Jean D. Ketcham ) ) Case No. 91-01578 ) Name of pM r~** ij 3Pt (e) ) ) A.G. B&ards & Sees, Inc. ) D. Eugene Harris ) For Claimant, Jean D. Ketcham ("Ketcham"): Lynn Graybill. For Respondents, A.G. S&ards & Sons, Inc. ("Bdtoards") and D. Eugene Harris ("Harris"): day Orumke, Esq. of A.G. B&mrds. Stat

PUBUC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01575 AWARD In the Matter of the Arbitration Between David E. Stzold, Executor Claimant vs. Eppler, Guerin & Turner, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 21, 1991, Claimant David E. Etzold, Executor, who appeared Pro Se, alleged that on March 15, 1990 he submitted explicit written transfer inst

3.A.S.D. AWARD NKTICNMi ASSOCIAIXCN OF SECURITIES DEMERS , ; , ;„.- _ lijjr • ..... "" In the Matter of the Arbitration Between -?( n .-p > ,*~. ^-j > - •• \ > Evelyn Jackson j A ; Claimant • ^".'.1"^"- and , __ — ---- $1=01571 Dean Witter Reynolds, Inc. & Lee Felicetta Respondents OF Claimant Evelyn Jackson appeared and was represented by Mark 0' Boyle , Esq. of Zelle & Larson r Minneapolis, Minnesota.

NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. CASE #91-01570 AWARD In the Matter of the Arbitration Between Lawrence H. Title Claimant vs. Pacific Brokerage Services, Inc. Respondent. CASE SUMMARY Lawrence H. Title, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on May 21, 1991, alleged that Respondent failed to execute a day order sell for ten Allied- Signal March 30 calls at $.75. Cla