N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jtetter of the Arbitration Between Leonard Evantash & Leonard Evantash Architects, P.C. 91-01118 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Michael C. Mullett For Claimants: Appeared pro se through Leonard Evantash. For Respondents: Todd A. Zuckerbrod, Esq., in-house counsel. Statement of Claim filed: April 10, 1991. Claimants' Submission Agreement signed on: A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Annette Marie Grubich 91-01115 Name of Respondent/Counter-Claimant Lovett Underwood Neuhaus & Webb, a division of Kemper Securities Group, Inc. (incorrectly named as Lovett Mitchell Webb & Garrison, Inc.). REPRESENTATION For Claimant/Counter-Respondent: Annette Marie Grubich was represented by John M.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #91-01112 ANARD In che Matter of the Arbitration Between Dana R. Dodson Claimant vs. Raymond A. Frias Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 9, 1991, Claimant Dana R. Dodson, who appeared Pro Se, alleged that Respondent Raymond A. Frias failed to sell 2,500 shares of UTS-Quicksilver Enterprises, Inc. after he was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Patrick G; Henry and Richard W. Bowers 91-01099 Names of Respondents Shearson Lehman Hutton, Inc. n/k/a Shearson Lehman Brothers, Inc., Max Cates, Robert Hollinger and Boettcher & Co., Inc. REPRESENTATION Claimants were represented by Victoria Gruver, Esq. of North &. Vainu P.C., Phoenix, Arizona. Respondent, Shea

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James and Shirley Bell, JTWROS, Claimants v. Merrill Lynch Pierce Fenner & Smith Inc., Patricia Gail Williams, Michael Delano Cheek, Respondents Case Number: 01-01813 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondents: Bryan I Reyhani, Esq. Merrill Lynch Pierce

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC CASE f91-01097 AWARD In the Matter of the Arbitration Between Dale and Mary Jane Seeman Claimants vs. Shearson Lehman Brothers, Inc. Respondent CASE SUMMARY Pro Se Claimants, Dale and Mary Jane Seeman, in a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1991, alleged that Respondent Shearson Lehman Brothers, Inc. failed to transfer to Rauscher Pierce R

PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC, CASE #91-01096 AWARD In nhe Matter of the Arbitration Between Mary C. Berry Claimant vs. Dain Bosworth, Inc. Anthony M. Quirini The Milwaukee Co. Hamilton Investment, Inc. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 8, 1991, Claimant Mary C. Berry who appeared Pro Se, alleged that Respondent Anthony Qui

Arbitration N.A.S.D, AWARD National Association of Securities Dealers, Inc. .*.«*«-»*»* nfirvsmmim** yv« .... .......... _. ^^-^p,- NASD Financial Center NATIONAL ASSOCTATICN OF SECURITIES DEMURS 33 Whitehal , Street _ New York, N.Y. 10004 In the Matter of the Arbitration Between FAX (212)858-4389 Name of Elaine Reader 91-01095 Name of Respondents First Interregional Equity Corporation Lawrence J. Donerty For Claimant EHa

N.A.S.D. AHAKD NATIONAL ASSOCIATION OF SBCDRITIES DEALERS, INC* In the Matter of the Arbitration Between nf 91-01093 W&lter H. Hill, Jr. Dean Witter Reynolds, Inc. Ray Powell For Claimant: For Respondents: Donald W. Stewart, Esq. A. Daxmer Frazer, Esq. of **** law firm of Frazer, Greene Philpot & XljpchurGh* CASE Statement of rnaHm filed on: April 4, 1991* Claimant's Submission Agreement signed on: April 3, 1991. Joint St

.D. AWARD NKTICKRL ASSOCXmCtl OF .SidTURiTUBS TTP&T.gpg f in the Matter o£ the Arbitration Betwci of dalnant Mary Las Williams Name of Resoqadjeats Dean Witter Reynolds, Inc. Kay Powell 91*01091 For Claimant: w. Stfewart, Eaq. For Respondents: A. Danner Frazer, Jr., Esq. of the law fim of Frazeor, Greene, Philpot & Stataosnt of ^«-*« filed en: April 8 P 1991. dadnant's Sutnission Agreement signed on: April 3, 1591.