N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ^ (•,: In the Matter of the Arbitration Between • • \\\ Name of Claimant - u Ronald L. Scott and 92-01815 Name of Respondents Smith Barney Harris Upham &. Co., Inc. and John Hardman Robinson REPRESENTATION OF PARTIES Claimant was represented by Steve A. Miller, Esq., Denver, Colorado. Respondent Smith Barney Harris Upham & Co., Inc. was represented by Alejandro Schwed,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Stephen P. Julien Case No. 92-01811 Name of Respondentfs) Fidelity Brokerage Services, Inc. d/b/a Fility Investments REPRESENTATION For Claimant, Stephen P. Julien ("Julien"): Michael Casey, Esq. of Casey & Molchan. For Respondent, Fidelity Brokerage Services, Inc. d/b/a fidelity Investments ("Fidelity"): Michael Wol

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Samuel and Grace Bray, Claimants, and 92-01810 Prudential Securities Inc. Charles Hofheimer Respondents. REPRESENTATION For Claimants, Grace and Samuel Bray ("Claimants"): Mr. Art Bish For Respondent, Prudential Securities, Inc. ("PSI"): John S. Barr, Esquire, Maloney Yeatts & Barr, 600 Ross Building, 801 East Main Street, Richmond, Vir

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SSCOROTES DEALERS In the Matter of the Arbitration Betweea Name of Claimant (s) Elaine H. Thompson Nappe of Respondent (a) Thomas E. Murray Case Ho. 92-0X607 For Claimant, Klalnft B. "Thompson ("Ihcnpeon"): pro se. For Respondent, Ibonas E. Murray ("Murray"): ggo se. Statement of Claim filed: Jtae 1, 1992. Claimant's Submission Agreement signed: May 19, 1992. Respondent's Statement of Answer filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Charles and June Shepherd vs. 92-01803 Name of Respondent(s) Smith Barney Harris Upham & Co., Inc. Alan Login CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 29, 1992, Claimants Charles & June Shepherd who appeared pro se, alleged that Respondent Alan Login of Respondent firm Smith

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Barbara Acton Jones 92-01795 Name of Respondents) Shearson Lehman Brothers, Inc. James Toto REPRESENTATION For Claimant Barbara Acton Jones: Walter V. Hines, Esq., sole practitioner. For Respondents Shearson Lehman Brothers, Inc. and James Toto: Robert S. Manoff, Esq. of Schwartz, Tobia & Stanziale. CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS _ PUBLIC In the Matter of the Arbitration Between Name of Claimantfs'i Michael E. Fareri Vincent D'Angelo Fareri Bros, Inc. 92-01793 f Respondent^ Wayne Grayson Capital Corp. Frank Ravenna REPRESENTATION For Claimants: William Greenberg, Esq. For Respondent Wayne Grayson Capital Coip: Thomas A. Rigilano, Esq. of Gusrae, Kaplan & Bruno. For Respondent Frank Ravenna

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard S. Andrews 92-01792 Name of Respondent Lars B. Greiner Matthew Miller REPRESENTATION Claimant Richard S. Andrews ("Claimant") represented himself. Respondents Lars B. Greiner ("Greiner") and Matthew Miller ("Miller"), collectively referred to as "Respondents" were represented by Gerard J. Kowalski, Assistant General

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Keith L. Kauffman 92-01790 Name of Respondents The Chicago Corporation Paul Greening Michael Purcell Donald Reid Victor Eking REPRESENTATION For Claimant, Keith L. Kaufmann: Donna A. Lavoie, Esq. and Paul W. Coughenour, Esq. of Barlow & Lange. For Respondents, The Chicago Corporation, Paul Greening, Michael Purc

N-A.SJD. AWARD NATIONAL ASSnrTATTQTM HT? P^AI P * S - ™ C - In the matter of the Arbitration Between e of Claii Stanley Abranu, individually and as trustee of che Stanley Abwnw, P.C , Profit Sharing Plan and Tnwi NASD Arbitration No. of Piper, Jaflray & Hopwood* lac, Howard Liebrcick For Claimant; Gary M. Berne, Esq. , Stoll Stall Berne & Lokcing, P.C , Portland Ore. For Respondent; Piper, Jaffray & Hopwood In