N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carol Miller 92-03890 Name of Respondent Jeff Heuss CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 17,1992, Claimant Carol Miller, who appeared Pro Se, alleged that Respondent Jeff Heuss misled her into purchasing Royalty Mortgage Income Fund which she was told would yield 11

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimants Meivin and Karen Fussy and 92-03885 Name of Respondents Hayne, Miller & Farni, Inc., William S. Wright, Jr. REPRESENTATION OF PARTIES Meivin and Karen Fussy ("Claimants") were represented at the hearing by Richard I. Diamond, Esq. of Diamond & Grady, Minneapolis, Minnesota. Respondent Hayne, Miller & Farm, Inc. ("Hay

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between . Name of Claimant Sherman Fitch 92-03878 Name of Respondent PNC Securities Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 17, 1992, Claimant Sherman Fitch who appeared Pro Se, alleged that he borrowed $39,000.00 from Pittsburgh National Bank and as collateral Claimant was to

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carson Ferri- Grant 92-03867 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Jacqueline Strauss REPRESENTATION For Claimant: Carson Fern-Grant appeared pro-se. For Respondents Merrill Lynch Pierce Fenner & Smith and Jacqueline Strauss: Elizabeth G. Armstrong, Esq. of Merrill Lynch Pierce Fenner & Smith. CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gary Aharoni 92-03866 Name of Respondents Ladenburg Thalman & Company, Inc. Michael Zaroff REPRESENTATION For Claimant: Gary Aharoni appearing pro se. For Respondents: Norman S. Lawi, Esq. of Ladenburg, Thalman & Company. CASE INFORMATION Statement of Claim filed: November 13, 1992. Claimant's Submission Agreement s

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Iris Solow 92-03865 Name of Respondents Comprehensive Capital Coip. Thomas G. Barrett Mark W. Murray FredCirillo REPRESENTATION For Claimant Iris Solow ("Claimant"): Ralph A. Gant, Esq., a sole practitioner. For Respondents Comprehensive Capital Corp. ("CCC"), Thomas G. Barrett ("Barrett"), Mark W. Murray ("Murray")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFALFRS. INC. Iirthe matter of the Arbitration Between Name of Claimant Southwest Securities, Inc. NASD Arbitration No.92-03861 Name of Respondents Investment Technology Corporation International Amir J. Jaami REPRESENTATION For Claimant: Jerome S. Wade, Esq., Southwest Securities, Inc., Dallas Texas, and Michael D. Donahue, Esq., Donahue & Wells, Los Angeles, California For Responden

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant, Robert W. Baird & Co. Incorporated and Case Number: 00-05004 Respondents, Hearing Site: Troy, Michigan Patrick Hundley Wendy Hundley Counterclaimant, Wendy Hundley and Counterrespondent, Robert W. Baird & Co. Incorporated Third Party Claimant, Wendy Hundley and Third Party Respondent, Bernard Anderson __ REPRESENTATION OF PARTIES

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., Claimant vs. Kyung W. Lee, Respondent. Case Number: 00-00506 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Charles Schwab &. Co., Inc. ("Schwab"), hereinafter referred to as "Claimant": Richard A. Karoly, Esq., Charles Schwab & Co., Inc., San Francisco, California Respondent, Kyung W. Lee, hereinafter referred to as "Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph Hickey 92-03860 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant Joseph Hickey: Michael Samuels, Esq. of the firm Kresch & Kresch. For Respondent Shearson Lehman Brothers, Tnc.: Casey Baum, Fscr CASE INFORMATION Statement of Claim filed: November 13, 1992. Claimant's Submission Agreem