N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Steve Campbell and Sharon Campbell 92-03915 Name of Respondent Consolidated Investment Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 18, 1992, Claimants Steve & Sharon Campbell, through their counsel, Allen N. Smith, Jr., Esq. of Smith & Redford, Indianapolis

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maucr tit the Arbitration Between Name of Claimant(s) Ruth W. Levinstein 92-03911 Name of Respondent^) Shearson Lehman Brothers, Inc. Alex Karkenny REPRESENTATION For Claimant Ruth W. Levinstein: Stanley R. Kotzen, Esq. of the law firm of Eckell Sparks Levy Auerbach Monte Moses. For Respondents Shearson Lehman Brothers and Alex Karkenny: John P. Bevilacqua, E

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward J. Widmer 92-03910 Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION The Claimant Edward J. Widmer ("Widmer") appeared pro se. For Respondent Charles Schwab & Co, Inc. ("Schwab"): Stephen Kennedy. CASE INFORMATION Statement of Claim filed: November 17, 1992. Claimant's Submission Agreeme

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Script Office Supply, Inc. and 92-03908 Name of Respondents Stratton Oakmont, Inc. and George Greco REPRESENTATION OF PARTIES Script Office Supply, Inc. ("Claimant") was represented by Donald C. Templin, Esq. of Haynes And Boone, L.L.P., Dallas, Texas and Larry Glazner, Esq., Levelland, Texas. Stratton Oakmont, Inc. (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Frank A Perreten, ttee. and 92-03907 Name of Respondents Unex Capital Corporation, Finley H. Mattel, and Lawrence R. Hazlewood OF PARTIES Frank A Perreten, ttee. ("Claimant 11 ) appeared pro se. Finley H. Martel ("Martel") appeared pro se telephonicaUy. Respondents Unex Capital Corporation and Lawrence R. Hazl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Reuel Family Trust u/a/d 9/12/86 92-03903 Name of Respondent RSR Capital Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 17, 1992, Claimant Reuel Family Trust, who appeared Pro Se, alleged that Respondent RSR Capital Group, Inc. recommended it invest in TDM Partici

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In che Matter of the Arbitration Between Name of Claimant Dennis Johnson and 92-03900 Name of Respondent Charles Schwab & Co., Inc. REPRESENTATION OF PARTIES Claimant Dennis Johnson was represented by Lloyd S. Clareman, Esq., New York, New York. Respondent Charles Schwab & Co., Inc. was represented by Gilbert R. Serota, Esq. of Howard Rice Nemerovski Canay Robertson & Falk, San

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George Popper, Executor of the Estate of Marie Singer, Deceased 92-03897 Name of Respondents Prudential Securities Inc Anthony A. Noble REPRESENTATION For Claimant George Popper, Executor of the Estate of Marie Singer, Deceased: Anthony J. Ferrara, Esq., of Polstein & Ferrara. For Respondents Prudential Securities Inc. ("Pr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Barbara A. Webb Case No. 00-05009 Names of Respondents Mark Joseph Caravaglio Michael Jude Caravaglio Joseph Gunnar & Co., LLC Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Barbara A. Webb ("Webb"), hereinafter referred to as "Claimant": J. Pat Sadler, Esq., Sadler & Hovdesven, P.C., Atlanta, Georgia. For Mark Joseph Carav

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Steven Cohan 92-03896 Name of Respondent Oppenheimer & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 17, 1992, Claimant Steven Cohan, by and through his counsel William C. Williams, Esq., of Bell, Metzner, Gierhart & Moore, S.C., Madison, WI, alleged that in Septe