N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Charles A. Egerton and Frances W.Egerton 92-04087 Name of Respondent(s) Ross A. Smith REPRESENTATION For Claimants, Charles A. and Frances W. Edgerton ("The Edgertons"): Richard W. Groner, Esq. of Snyder, Groner & Schieb, Sarasota, Florida. For Respondent, Ross Smith ("Smith"): Michael C. Addison, Esq., Tampa, Florida.

la the matter of the Arbitration Between Wame of Cls Renee des Tombe ]®&D Arbitration- Ho. 92*04065 Warn* nf ReHnandent_liL Kidder, Peabody 6 Co.,. Inc. Robert B. Dini For cimiw*. S. Gary Varga, Esq. , CWj, Califomi. and William M, Ziering, B«q., San Francisco, California For Re-ponctota -. HillUm H. Phelp., E.q. , Kidd.r , Peabody ft Co- , Inc., LOB Angeles, California Statement of Claim filed: December 3, 1992 Claimant's 3ubmiaaion Agr

PUBLK N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anna Rosen TTEE Anna Rosen Trust 92-04084 Name of Respondents Prudential Securities Inc Neil Goldberg CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 4, 1992, Claimant Anna Rosen TTEE of the Anna Rosen Trust, who appeared Pro Se, alleged that Respondent Neil Gold

-_ N.A.S.D. AWARD MATICMAL A.^SQCIATICM CF SgCTT^TTTgS "gALZ In the matter of the Arbitration Between Name r;f f* 1 . aimanr ( 5 ) Krista Clem NASD Arbitration No. 92-04083 Name of Respondent (s ) Prudential Securities Incorporated James Harrington RBPRgSBMTATION For Claimant: Krista Clem f Lafayette, California For Respondent: Kirsten Hotchkiss, Esq., Prudential Securities Incorporated, New York, New York Stateme

MODIFIED N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Johnson, McKenney & Carr Securities Case # vs. 92-04080 Name of Respondents Kazi A.F.S. Hasan Elton Johnson, Jr. vs. Third-Party Respondent Edward M. Growney, Jr. REPRESENTATION For Claimant: Elton Johnson, Jr., Thomas J. Hanrahan, Esq. For Respondent: J. Edward Meyer, Esq. CASE INFORMATION Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Laila I. Gomaa I Care Anesthesia Services S.C. No. 92-04071 Name of Respondents AMR Securities, Inc. Amr I. Elgindy REPRESENTATION OF PARTIES Laila I. Gomaa appeared on her own behalf, and on behalf of I Care Anesthesia Services S.C. Amr I. Elgindy appeared on his own behalf, and on behalf of AMR Securities, Inc. CASE INFORMATION Statement of Claim fi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph J, Hanus, Trustee, F.B.O. Joseph J. Hanus U.D.T. 92-04069 Name of Respondents Eric S. Finkel William A. Maddox, m Bob J. Baran Bachus & Stratton Securities, Inc. REPRESENTATION For Claimant, Joseph J. Hanus, Trustee, F.B.O. Joseph J. Hanus U.D.T. ("Hanus"): pro se. For Respondents, Eric S. Finkel ("Finkel): p

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantisi William David & Derenda Marie Arlington 92-04061 Name of Respondent^) Fidelity Brokerage Services, Inc. REPRESENTATION Claimants William David and Derenda Marie Arlington appeared pro se. Respondent Fidelity Brokerage Services, Inc. was represented by Angela M. Gottsche, Esq., of the law firm of Kutak Rock. CASE INFORMAT

Award NASD Dispute Resolution, Inc, In the Matter of the Arbitration Between: First Union Securities, Inc., Claimant v. Gregory J. Bischoff, Respondent Case Number: 00-05027 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Diane C. Fischer, Esq. Ronald P. Kane, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Gregory J. Bischoff In Pro Per Vista, California CASE INFORMATION Statement of Claim

1 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SFrTTEfTTRS DEALERS. TNC. In the matter of the Arbitration Between Name of Claimant's) Menasce E. Levi and Diane Levi, as Trustees of the Levi Family Trust dated February 12, 1986 NASD Arbitration No. 92-04055 Name pf Respondent(s) Dean Witter Reynolds, Inc. REPRESENTATION For Claimants: Bruce R. Safran, Esq., Sherman Oaks, California For Respondent: Wendy R. Robinson, Esq., Dean Witter Re