N.A.S.D. AMARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jtotter of the Arbitration Betwseri Name Qf National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 R. Brent Smith Name of Responrfcrrf .( & } Stuart James Conpany, Inc. Richard Blackstock 90-02029 For Claimant: Daniel R. Taylor, Jr., Esq. of Petree Stockton & Robinson. For Respondent: J

NATIONAL ASSOCIATION OF SECURITIES DEALERS P INC CASE #90-02025 AWARD In the Matter of the Arbitration Between Robert & Karen Kirschenbaum Claimants vs. Freeman Financial Group Larry Little Respondents CASE SUMMARY Pro Se Claimants, Robert and Karen Kirschenbaum, in a claim filed with the National Association of Securities Dealers, Inc. on July 23, 1990, alleged that Respondent, Larry Little, a representative of Freeman F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gregory R. Miller Claimant Case No. and 90-02020 Kidder Peabody & Co., Inc., Donald Wood and Hugh T. Carney, III Respondents REPRESENTATION OF PARTIES Claimant Gregory R. Miller was represented by Thomas M. Newmark, Esq. of Gallop, Johnson & Newman, St. Louis, Missouri. Respondents Kidder Peabody & Co., Inc., Donald Wood and Hugh T.

N.A.S.D. AWAHD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jtotter of the Arbitration Between William Roberson Vestal Claimant vs. 90-02018 J.J.B. Hilliard, W.L. Lyons, Inc. Respondent PARTIES Claimant William Vestal appeared pro se. Respondent J.J.B. Hilliard p W.L. Lyons, Inc. was represented by Kenneth L. Wagner, Esq. of J.J.B. Hilliard, W.L. Lyons, Inc., Louisville, Kentucky. In a Statement of Claim filed with the National

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Ronald Anderson and Sarah Anderson Names of the Respondents Merrill Lynch, Pierce, Fenner, & Smith, Inc. and Karyn Griffin Case Number: 00-04521 Hearing Site: Albuquerque, New Mexico REPRESENTATION OF PARTIES Claimants Ronald Anderson and Sarah Anderson, hereinafter referred to as "Claimants": Clinton W. Marrs, Esq., of Eastham, Johnson, Mon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Name of Kenneth & Lois MacKichan Name of Shearson Lehman Hutton, Inc. W. Rondini 90-02000 Kenneth A. and Lois D. MacKichan appeared Shearson Lehman Hutton, Inc. and Wilson Ranjjflfc* Kuker, Esq. of Neal Gerber & Eisenberg, Chicago, In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or abo

NAS.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ruth J. Ziegeimeyer and *90-OI994 Name of Respondent A.6. Edwards & Sons, Inc. REPRESENTATION OF PARTIES For Claimant: Jerome Raskas, Esq. For Respondent: William S. Port, Esq. Stephen Sneeringer, Esq. fASF INFORMATION Statement of Claim filed: on or about July 18, 1990. Claimant's Submission Agreement signed on: July

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ,JV In the Matter of the Arbitration Between Name of C Jonathan B. Frost 90-01990 of Respondent Dean Witter Reynolds f Daniel C. Reardon CF Dean Witter Reynolds, Inc. was represented by Scott E. Richter, Esq. of Popham, Haik, Schnobrich & Kaufman, Ltd., Minneapolis , Minnesota. Daniel Reardon was represented by Jan Stuurmans, Esq. of Stuurmans & Karan, P. A., Minneapolis,

Arbitration National Association of N.A.S.D. FINAL ORDER purities Dealers Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 NKTICNRL ASSOCIATION OF SECURITIES DEALERS FAX (212)858-4389 la the fcfetter of the Arbitration Between Hame_of_g.aigHnt Barry Pearl 90-01989 Name of Respondents Ken Bernstein P.M. Stevens Securities Corp. Gary Michael Stevens Arlene Dolores Stevens Pursuant to Section 43 (c) of the

N.A.S.D. AHAKD NATIONAL ASSOCTATICN OF SECURITIES DEMURS In the Hatter of the Arbitration Between Of James V. McAnally 90-01987 of Respondent: (s) TA'hman HuttQQ, IDC* Kenneth Jobes Douglas Young For claimant: James V. Moftnally was represented by Raymond L. Britten, Jr. , Esq. of Cage, Hill & Niebaus, Houston, Texas. TjaHnan HUttOQ, Tno m DOW taOWQ aS SheaXSGCI Brothers, IDC., Kezmeth Jobes and Douglas Young were represented