N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gwen Pike 95-03316 Name of Respondents Paine Webber, Inc. John C. Lester, Jr. John C. Lester CASE SUMMARY In a claim filed with the National Association of Securities Dealers, IDC. on July 11, 1995 Claimant Gwen Pike ("Claimant"), through her representative and counsel, Janice L. Innocenzi of Titus, Bueekner & Berry, P.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between: HUGH T. BURNS, Claimant, OPPENHEIMER & CO., INC., Respondent. Consolidated with WILLIAM J. FUESS, Claimant, v. OPPENHEIMER & CO., INC. Respondent. 'National Association of Securities DcaJcK. l nc AIl Rights Reserved CONSOLIDATED CASES NO. 9503307 and NO. 95-03308 REPRESENTATION OF PARTIES Claim

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stephen C. Shalinsky, Claimant, v. No. 95-03303 General securities Corp., Respondent REPRESENTATION OF PARTIES Stephen C. Shalinsky ("Claimant") was represented by Daniel L. Goldberg, Esq., St. Charles, Missouri. General Securities Corp. ("Respondent") was represented by Jane L. Stafford, Esq., of Watson & Marshall, Kansas City, Missouri.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jack I. Schnitzer Name of Respondent James W. Bullard.. Jr. 95-03298 © National Association ol Securities Dealers, Inc. All Rights Reserve; REPRESENTATION For Claimant: Jack I. Schnitzer ("Schnitzer") appeared pro se. For Respondent: James W. Bullard, Jr. ("Bullard") did not appear. CASE INFORMATION Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anita K. Winkis f/k/a Anita K. Wheeler, 9503297 ^(910 Id- © National Association or Securities DcaJrvr '— All Rights Reserved Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. and Blaine M. Goldberg REPRESENTATION For Claimant Anita K. Winkis f/k/a Anita K. Wheeler ("Winkis"): Richard J. Winkis,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Faye Taylor and 95-03293 Name of Respondent John C. Ackerman REPRESENTATION OF PARTIES Faye Taylor ("Claimant") appeared pro se. John C. Ackerman ("Respondent") appeared pro se, CASE INFORMATION The Statement of Claim was filed on or about July 7, 1995. Submission Agreement of Claimant Faye Taylor was signed on June 3

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. ©National Names of Claimants: Securities Edward P. Hansen and Barbara L. Hansen NASDR Case NttHK# Name of Respondent: Smith Barney Inc. REPRESENTATION OF PARTIES Claimants, Edward P. Hansen and Barbara L. Hansen were represented by Timothy M. McDaniel, Esq. of McDaniel & Allen, P.C. located in Houston, Texas. Respondent, Smith Barney, Inc. was represented by William Hoha

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Satish C. Bansal, and Roopa Bansal, Claimants, © National Association c< Securities Dealers, ir.c. v. No. 95-03290 All Rights Reservec Gregory Schaff, and Piper Jaffray Hopwood, Respondents. REPRESENTATION OF PARTIES Satish C. Bansal appeared on behalf of Satish C. Bansal, and Roopa Bansai ("Claimants"). Gregory Schaff ("SchafF),

Award NASD In the Matter of the Arbitration Between: Name of the Claimant John C. Stovall Names of the Respondents A.G. Edwards & Sons, Inc. Bryce Weldon Smith Case Number: 01-01016 Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For John C. Stovall ("Stovall"), hereinafter referred to as "Claimant": Ben F. Melanson, Esq., Dampf, Thibaut & Melanson, L.L.P., Baton Rouge, LA. For A.G. Edwards & Sons, Inc. ("AGE") and Bryce Weld

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tom Stuver 95-03289 Name of Respondent Olde Discount Corporation REPRESENTATION For Claimant: Clifford J. Hunt, Esq. of the law firm of Riden, Earle & Kiefner, St. Petersburg, Florida. For Respondent: Karen Fitzgerald, Esq., in-house counsel at Olde Discount Corporation. CASE INFORMATION Statement of Claim filed: July 7