—rf- N,A.S n AWARD NATTHNAT. ASSOrTATTON OF SFnTRlTTRS DF.ALF.RS. TNC. In the matter of the Arbitration Between of Clfri Kem Dibbs v. NASD Arbitration No. 95-00203 Name, nf " Smith Barney, Inc. and Lee West RRPRRSRVTATTON For Claimant: I. Richard Roman, Esq. Beverly Hills, California For Respondent Smith Barney, Inc.: Pete S. Michaels, Esq. Smith Barney, Inc. Beverly Hills, California For Respondent Lee West: Mitchell Alb

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elma Slade Chess 95-00199 Name of Respondents Smith Barney Shearson, Inc. Martin Shea CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 13, 1995, Claimant Elma Slade Chess, through her representative, Brooks S. Thayer, Esq., of Latanzi, Spaulding & Landreth, in Orleans, MA.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mark and Susan Johnson Award No. vs. 95-00194 Name of Respondents ©National Association (-U.S. Investments, Inc. Securities Dealers '"' James P. Donahue Sherry D. Crisco All Rights Resenx. Edward E. Griffin Rocky Lynn Griffin REPRESENTATION For Claimants, 'Mark Johnson and ^san ^JoluiSfe ("Ck 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeffrey B. Bartlam 95-00191 Name of Respondents Kidder, Peabody & Co., Incorporated Douglas Black REPRESENTATION For Claimant Jeffrey B. Bartlam ("Claimant"): Jeffrey P. Bloom, Esq., Metzger, Hollis, Gordon & Mortimer, Washington, D.C. For Respondents Kidder, Peabody & Co. , Inc. ("Kidder") and Douglas Black ("Black")

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In -the Hatter of the Arbitration Between Name of claimant PaineWebber, Inc. 95-00190 Name of Respondent Joseph P. Stelweck REPRESENTATION For Claimant PaineWebber, Inc. ("Claimant")! Lisa Catalano Tillem, Litigation Counsel for PaineWebber, Inc. For Respondent Joseph P, Stelweck ("Respondent"): appeared pro se CASE INFORMATION Statement of Claim filed: January 13, 1995 Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of^Claimant i McDonald & Co. Securities, Inc. v. Case No. 95-00188 Name of Respondent Robert Field REPRESENTATION For Claimant, McDonald & Co. Securities, Inc., appeared Henry V. Kerr, Esq. in-house counsel located in Cleveland, Ohio. For Respondent, Robert Field, appeared Robert E. Giffin, Esq. located in Columbus, Ohio. CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) PaineWebber Inc. 95-00180 Name of Respondents) Ben E. Boren REPRESENTATION For Claimant PaineWebber, Inc.: Scott Ratchick, Esq. and David L. Pardue, Esq., of the law firm of Hunton and Williams, Atlanta, GA. For Respondents Ben E. Boren and Blake Boren: Gerald S. Kline, Esq., Atlanta, GA. CASE INFORMATION Statements

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Albert & Lilybett Zitomer, TTEES, et al. 95-00179 Names of Respondents Prudential Securities Incorporated Kenneth F. Klespies REPRESENTATION For Claimants, Albert & Lilybett Zitomer, TTEES, et al. ("the Zitomers"): Norman Meyers Esq. of Meyers & Bierkan, P.A., Sun City Center. Florida. For Respondent, Prudential Securitie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William W. Allen (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., William H. Combs, and Christopher G. Cook, (Respondents) Case Number: 00-03787 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant William W. Allen ("Allen"), hereinafter referred to as "Claimant": Nicholas Stevens, Esq.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00387 Estate of Mary Kay Taylor and Mary Kay Taylor Trust, Claimant vs. US Bancorp Investments, Inc., Respondent. ATTORNEYS: For Claimant appeared Peter J. Mozena, Esq. Portland, OR. For Respondent, US Bancorp Investments, Inc., appeared in-house counsel Mark S. Reed, Esq., Minneapolis, MN. DATE FILED: January 31, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to pr