NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Closson Family Trust, R.E.L. Claimant vs. J*F. Lowe and Company/ Inc./ Roger F. Hatfield and Kurt R. Van Etten Respondents CASE ?90-Q1547 AWARD SUMMARY R.E.L. Closson, trustee of the Closson Family Trust, in a claim filed with the National Association of Securities Dealers, Inc. on June 1, 1990, alleged that Respondent Roger E. Hatfield and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Boettcher & Company Inc. 90-01544 Name of Respondents ) Jeff & Todd Jorgensen Heard before: Name . Public/Ii George H. Speciale, Esq. Public Chair E.Y. Bennion Industry D. Scott Hays Public This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on May 31, 19

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter" of the Arbitration Between Investor Discount Brokerage, Inc. Name of "-," o 90-01543 Thanes Nast, III In a claim filed with the National Association of Securities Dealers , Inc. ("NASD* 1 } on or about May 31, 1990, Investors Discount Brokerage, Inc. ("Claimant") alleged that Thomas Nast III ("Respondent") had an outstanding debit balance in his account.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS . in In the Matter of the Arbitration Between i Q^i -J Name of Claimant fs^ { I—— —~ ARBITRAL-.- ..iCAGQ Agnes M. & John F. McDonnell 90-01542 Name of Respondent^] Robert W. Baird & Co., Inc. Rosanna Lucero-Tbrrez TMs matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on Jfey 31, 1990. Claimants

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wyatt Lee, Claimant v. Royal Hutton Securities Corp., Clark Street Capital, Inc., and Steven J. Simone, Respondents Clark Street Capital, Inc., Counter-Claimant v. Wyatt Lee, Counter-Respondent Case Number: 00-04779 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: For Respondents Royal Hutton Securities Corp. and Steven J. Simo

ArbttnrtkMtp ® N.A.S.D. AWARD ASSOCZATICN OF SBCDRITCES DEAI£SS In the Matter of the Arbitration Between Naff** *vf Claimant AdamM. SoiaroNski ..--;, VS. Name . f Resoottfent NattonafcAMoclatlnno* Securttte DMtors, toe. NASD Rnancrf Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 David Cameron William M. Cadden Co., Claimant, Adam M. Smiarowski, appeared pro se. For Respondent, David Cameron

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 In the Matter of the Arbitration Between Name of Claimant (s) Albert Jeffers of Resrr^qnt (s) Graystone Hash, Inc. Stephen B. Kaplan Thomas Acker ly Glen Desort John Calabria Case No. 90-01527 For Claimant, Albe

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Clalmantfa^ ) ) David E. DeWitt ) ) ) Case No. 90-01523 ) Name of Qppenheimer & Co., Inc. ) Lili Ann Altaian ) Kenneth Sussman ) Heard before the mentors of the Arbitration Panel: Joseph L. Bernstein, Esq. Public Charles H. Brodzki, Esq. Public Herbert S. Kaxol Industry This matter was initiated by a Stat

p Region r_ Volume /£^ r N umber c*. rtmratlon AMOC|atlon flf S«curftlee Dealer*, Inc. One East Broward Boulevard Suite 1000 N A S D AWARD Ft - Lauderdale. Rorida 33301 W. A. b. U. AWAWJ {305)522-7391 NATIONAL ASSOCIATICN OF SECURITIES DEAI£RS In the Matter of the Arbitration Between ~ Mama of Claimant fa] Paul D. & Lana J. Somers 90-01518 of Hliabard Brown & Company inc. Heard before the Arbitrato

Arbitration N.A.S.D. AWARD NKTICNftL ASSOCIATION OF SECURITIES DEALERS National Association of Securities Dealers* Inc. NASD Financial Center 33 Whitehall Street New York, New York 10QC In the Matter of the Arbitration Between p of William Pizetzky vs. nf Resondents. Case # 90-01516 JOIRRD Richard Scileppi, Jr. Prudential Bache Securities, Inc. Claimant, William Pizetzky, alleges that Respondent, Richard Scile