N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants John Walker and Lisa Walker 95-00571 Names of Respondents Kemper Securities, Inc. Lovett Underwood Neuhaus & Webb, Inc. Douglas B. Shaw and Trevor D. Ling REPRESENTATION John and Lisa Walker ("Claimants") were represented by Woodrow Epperson, Esq., Sole Practitioner, located in Houston, TX. Kemper Securities, Inc.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between A.D. Sylvester and Agnes Sylvester, Claimants, and No. 95-00570 Philip Jonathan Eitman, Respondent, REPRESENTATION OF PARTIES Claimant A.D. Sylvester and Agnes Sylvester were represented by William S. Shepherd, Esquire of Houston, Texas. Respondent Philip Jonathan Eitman was represented pro se. CASE INFORMATION Claimants A.D. Sylvester a

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Herbert L. Michel, Jr., Herbert L. Michel, Profit Sharing Plan, Herbert L. Michel, IRAs, Herbert Michel, Your Legal Power, and Herbert L. Michel, IRA Rollovers, Claimants v. Morgan Stanley Dean Witter, Merrill Lynch, Pierce, Fenner & Smith, Inc., and Jason R. Guttenberg, Respondents Case Number: 00-03833 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customers v.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Kemper Securities, Inc.. n/k/a First Union Securities. Inc. (Claimant) vs. Robert Lemons (Respondent) Case Number: 95-00569 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Kemper Securities. Inc., n/k/a First Union Securities. Inc. ("Kemper"): Renan Sugarman. Esq., First Union Securities Legal Department. Chicago, Illinois. Respondent Robert Lemons failed to app

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) J. C. Bradford & Co. 95-00568 Name of Respondents) William L.& Diane L. Milliard REPRESENTATION For Claimant appeared Claude O. Ramer, II, Esq. of J.C. Bradford & Co. Respondents appeared Pro Se. CASE INFORMATION The Statement of Claim was filed on February 3, 1995. Claimant's Submission Agreement was signed on Februa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant Kemper Securities, Inc. v. Name of Respondent Paul Justi NASD Arbitration No. 95-00567 REPRESENTATION For Claimant: For Respondent: Don Andrews, Esq. Kemper Securities, Inc. Chicago, Illinois Paul Justi, Pro Se Pasadena, California CASE INFORMATION Statement of Claim filed: Claimant

r NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Christine Sampras and 95-00566 Name of Respondent Paine Webber, Inc. Christos Dousmanis REPRESENTATION OF PARTIES Christine Sampras ("Claimant") was represented by Richard Evans, Buffalo Grove, Illinois. PaineWebber, Inc. ("Respondent PaineWebber 11 ) and Christos Dousmanis ("Respondent Dousmanis")(collectiv

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Michael M. Beltrami Case No. vs. 95-00565 Name of Respondents Smith Barney Shearson, Inc. Joel B. Raskin REPRESENTATION For Claimant, Michael M. Beltrami ("Claimant"), appeared John Keenan, Esq. from EMG Advisory, Inc., located in Fairfield, Connecticut. For Respondents, Smith Barney Shearson, Inc. ("Smith Barney") and Joel Raskin ("Raskin") (collec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Coiporate Securities Group, Inc. 95-00563 Robert Tucker REPRESENTATION For Claimant, Corporate Securities Group, Inc. (CSG): Gregory Tendrich, Esq. of Corporate Securities Group, Inc., Boca Raton, Florida. For Respondent, Robert Tucker ("Tucker"): Michael R. Casey, Esq. of Casey and Molchan, Fort Lauderdale, Florida. CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Frank and Jean DiMartino 95-00561 Name of Respondents Dean Witter Reynolds Inc. William E. Lange CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1995, Claimants Frank and Jean DiMartino, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., through i