N.A.S.D. AWARD MATIONAL ASSOCIATION OF SF.CUPTTTRS DEALERS In the Matter of the Arbitration Between Name of Claimants Lyle T. Cordray and Penny A. Cordray NASD Arbitration No. 92-01785 Name of Respondents Dain Bosworth Incorporated Linda M. Stuart REPRESENTATION For Claimant: Michael G. Hanlon, Esq., Portland, Oregon. For Respondent: Mark A. Turner, Esq., Ater Wynne Hewitt Dodson & Skerritt, Portland, Oregon. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Betty Novak 92-01783 Name of Respondents Prudential Securities Inc Jack Davis REPRESENTATION Claimant: Stephen J. Hopkins, Esq. of Googasian Hopkins Hohauser & Forhan. For Respondents, Prudential Securities, Inc. and Jack Davis: Peter Byer, Esq. of Prudential Securities. Inc. CASE INFORMATION Claimant's Submission A

PUBUC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jeffrey L. Rowers Claimant CASE #92-01781 AWARD vs. Dean Witter Reynolds, Inc. Jack Zager Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 28, 1992, Claimant Jeffrey L. Flowers who appeared Pro Se, alleged that Respondents Dean Witter Reynolds, Inc. and Jack Zager

__ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Bowden, Trustee of the Dean and Faye Bowden Trust vs. NASD #92-01779 Name of Respondents Gerald Doyle Prudential Securities, Inc. For Claimant: Jeff Dennis Fercntz, Esq., Greenbaum & Ferentz, Newport Beach, California For Respondents: Robert H. Logan, Esq., Keesai, Young & Logan, Long Beach, California CASE INFORMAT

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carlie Chin 92-01778 Name of Respondents Royce Park Investments Richard Neuckranz CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 28, 1992, Claimant Carlie Chin, who appeared Pro Se, alleged that Respondents Royce Park Investments and Richard Neuckranz failed to foll

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00904 Chris Pappas, claimant vs. Charles Schwab & Co., respondent. ATTORNEYS: ^~~ Claimant appeared Pro Se, Orange, CA. For Respondents appeared Curt H. Mueller, Esq., in-house counsel, San Francisco, CA. j DATE HLED: February 23, 2001 CASE SUMMARY: Claimant alleged that respondents negligently failed to timely and properly transfer his retirement proceeds, thereby denying him

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS of Claimants /Counterrespondents Dean H. Poynter Jeffrey D. Poynter No. 92-01776 Name of Respondents /Counterclaimants Prudential Securities, Incorporated Robert Garrett, Sr. REPRESENTATION OF PARTIES For Claimants: John Miller, Esq., of Nygaard & Associates, Overland Park, Kansas. For Respondents: Robert S. Getman, Esq., of Prudential Securities, Incorporated, New York, New Y

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dana R. Dodson 92-01775 Name of Respondent Barrett Dav Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on May 28. 1992, Claimant Dana Dodson. who appeared Pro Se, alleged that on June 29, 1990 he purchased 2,500 shares of UTS-Quicksilver Enterprises. Inc. at 1 1/8 for $2,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-01771 AWARD In the Matter of the Arbitration Between Edmund Scott Brown Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 27, 1992, claimant Edmund Scott Brown, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. through its brok

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Josef Rotter NASD #92-1761 vs. David Paul Kane, Kennedy Cabot & Company, Inc. For Claimant: Frank S. Carieo, Esq., Ingiewood, CA For Kcspoodents: Geoige H. Kuppw, Esq., Kennedy Cabot & Co. , Inc., Beverly HGH*, CA Statement of Claim filed: May 27, 1992 Claimant's Submission Agreement signed: May 15, 1993 Statement of Answer Hied by Respondents