N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harriet Rogoza Newman 1987 Revocable Trust NO. 92-00498 Name of Respondents Richard M. Ryan Robert W. Baird & Co. Incorporated REPRESENTATION OF PARTIES For Claimant: Herbert S. Bratt, Esq. of Curchill, Duback & Smith. For Respondents: Deborah J. Fabritz, Esq., of Robert W. Baird & Co., Inc., Milwaukee, Wisconsin.

M.A.5.2. ^ :iftnCMAL ASSOCIATION OF S3CDRIT In the Matter of the Arbitration Mame of Claimant Estate of Myrle S. Kahn o£ T^aVman Brothers, IHC. Wayne Hutton Charles Harold Cooper 92-00492 ^rort ration National Association or Securities Dealers. Inc. •;ASD r «anciai Cenier 2 '.Vhitenan Street 'Jew rcrn. N.Y '?QO^ For Claimant: Carole G. Gelfeld, Ssq. and Elizabeth S. York, Esq. 'or Respondaits: Charles R. Mills. Esq. a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Allan A. Kaplan 92-00486 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION For Claimant, Allan A. Kaplan ("Kaplan"): Philip J. Snyderburn, Esq., of Snyderburn, Rishoi & Swann. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch"): Charles L. Henderson of Merrill Lynch. CASE

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of.The Arbitration Between Kristen Sherwood Education Trust, Gary Ingram, Trustee Claimants vs. Dean Witter Reynolds Inc, Monty Grau Respondents CASE #92-00485" AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 10, 1992, Claimant Kristen Sherwooc Education Trust, through its Trustee Gary Ingram, allege

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Mae Kirk Ccburn John Kirk Coburn Richard Kirk Coburn No.s 92-00462 92-02237 Consolidated Name of Respondents/Crossclaimants R.G. Dickenson & Co. Gerald Verr Name of Respondent:/Crossrespondent Mark Verr REPRESENTATION OF PARTIES For Claimants: Michael Fitzsimmons, Esq. of Fitzsimmons. Roberts & Payne, Oakbrook, Illinois. For Respondent Gerald Verr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECTJRTTTFF nFAF.FRS. INC. In the matter of the Arbitration Between Name of Claimants Anna M. Strieker Curtis A. Strieker Name pf Respondents International Assets Advisory Corp. Kevin Woodbridge NASD Arbitration No. 92-00461 REPRESENTATION For Claimant: In Pro Se For Respondents: In Pro Se CASE INFORMATION Statement of Claim filed: February 6, 1992 Claimants' Submission Agreement sig

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward Perlman No. 92-00459 Name of Respondents Jeffrey C. Pellar Rodman & Renshaw, Inc. REPRESENTATION OF PARTIES For Claimant: Claimant appeared pro se. For Respondents: Thomas P. Fitzgerald, Esq. of Altheimer & Grey, Chicago, Illinois. CASE INFORMATION Statement of Claim filed: February 5, 1992. Claimant's Su

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s^) _ 10 PUBUC Oliver T. and Eleanor N. Myers 92-00458 Name of Respondentfs) Shearson Lehman Brothers, Inc. PaineWebber, Inc. Cynthia Coxe Joseph Kennedy, m. REPRESENTATION For Claimants: Julia Garver, Esq. of Woods, Oviatt, Oilman, Sturyman & Clarke. For Respondents, Cynthia Coxe Mazzara, Joseph Kennedy, m and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Josef A. Blatstein Case No. 01-00875 Hearing Site: Boca Raton, Florida Name of Respondent Sands Brothers & Co., LTD REPRESENTATION OF PARTIES For Josef A. Blatstein ("Blatstein") hereinafter referred to as "Claimant": Kenneth S. Sandier, Esq., Hollywood, Florida. For Sands Brothers & Co., LTD ("Sands") hereinafter referred to as "Respondent": St

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Herbert F, & Naomi Tscheulin 92-00457 Name of Respondents') First Investors Corporation CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on February 6, 1992, Claimant Herbert F. & Naomi Tscheulin who appeared Pro Se alleged that Respondent First Investors Corp. through its age