AWARD HATIQMAT. OP ggcnsTTTES DSALF.Hfl . INC. Zn the matter of the Arbitration Between Name of Prudential Securities incorporated NASD Arbitration NO. 92-03838 Mam A of Respondent fa) Paul Laub For Claimant: Charles B. LaChaussee, Esq., Prudential Securities Incorporated, New York, New York For Respondent: William E. Mussman, III, Keq,, Carr t MUMIMH, San Francisco > Cal i f oraia Statement of Claim filed: November 11, 1392

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Orthopedic Surgery Associates, P.C. Pension Trust Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc. 92-03834 REPRESENTATION For Claimant, ORTHOPEDIC SURGERY ASSOCIATES, P.C. PENSION TRUST: Thomas B. Bourque, Esq. of the law firm of Conlin, McKenney & Philbrick, P.C. For Respondent, MERRILL LYNCH, PIERCE, FENNER &

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Annette E. Stiefbold 92-03832 Name of Respondents Dean Witter Reynolds Inc. Jane E. Bransfield CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 11,1992, Claimant Annette E. Stiefbold, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., throug

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sam Rodio Construction, Inc.; Cellular Construction Management, Inc.; and Douglas Bird 92-03827 Name of Respondents Paine Webber Incorporated; Patrick M. Mendenhall REPRESENTATION For Claimants: Sam Rodio Construction, Inc. ("Rodio"), Cellular Construction Management, Inc. ("Cellular") and Douglas Bird ("Bird") were re

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter x>f the Arbitration Between Name of Claimant George Tillson 92-03821 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant: George E. Tillson, appearing pro se. For Respondent: Ann Parry, Esq. Associate General Counsel for Shearson Lehman Brothers, Inc. CASE INFORMATION Statement of Claim filed: November 9, 1992. Claimant's Submission Agreem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) John F. Cucchiara 92-03818 Name of Respondent(s) Mutual Service Corp REPRESENTATION Claimant John F. Cucchiara was, pro se. For Respondent: Jeffrey Cohen, Esq. of Stephens, Lynn, Klein & McNichoias. CASE INFORMATION Statement of Claim filed: 11/5/92. Claimant's Submission Agreement signed on: 11/5/92. Statement o

PI "~M 10 ' OoLio N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ronald and Diana Wittman 92-03816 Name of Respondent Consolidated Investment Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 10, 1992, Claimants Ronald W. & Diana Wittman, through their counsel Allen N. Smith, Esq. of Smith & R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name sf Claimanc Bill D. Werth No. 92-03815 Name of Respondents Rhodes Securities, Inc. James Rhodes Gus Bauer Jeff Brault James D. Wilson Southwest Securities, Inc. REPRESENTATION OF PARTIES For Claimants: Glenn D. Young, Jr., Esq., of Young, Bogle, McCausland, Wells & Clark, P.A., Wichita, Kansas. For Respondents Rhodes Securities, Inc.,James Rhodes, Gus Bauer, a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tom Leahy, Claimant v. Platinum Equities, Inc. and Gregory Grycan, Respondents Platinum Equities, Inc. and Gregory Grycan, Counter-Claimants v. Tom Leahy, Counter- Respondent Case Number: 00-04999 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person Nature of the Dispute: Member and Associated Person v. Customer REPRESENTATION OF PARTIE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Geraldine E. McArdle 92-03813 Name of Respondents Baker Watts & Co. David L. Hannett, Sr. W. Andrew Wilson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 10, 1992, Claimant Geraldine E. McArdle, who appeared Pro Se, alleged that she opened an account with Respondent B