NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03715 PaineWebber Incorporated, Claimant vs. William E. Nix, Respondent. ATTORNEYS: For Claimant appeared Romaine L. Gardener, Esq., Staten Island, NY. Respondent did not respond to the Statement of Claim. DATE FILED: August 25, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to pay balance due and owing on a forgivable loan. Claim Data Award Data Claim: $6,958.6

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roger and Janet Duncan 93-02757 Name of Respondents Prudential Securities, Inc. Jeff Cornell CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 15, 1993, Claimants Roger and Janet Duncan, through their counsel, Virginia C. Antipole, Esq., of the firm Anderson, Hunter in Everett,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rosalie and Louis Zinn 93-02745 Name of Respondents Legg Mason Wood Walker, Inc. Carol Eisman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 17, 1993, Claimants Rosalie and Louis Zinn, who appeared Pro Se, alleged that on August 3, 1992 they went to the offices of Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert W. Bowden 93-02743 Name of Respondent First Hanover Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 13, 1993, Claimant Robert E. Bowden, who appeared Pro Se, alleged that he is the Vice President of Human Resources for Yamaichi International (America), Inc.

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Stanley L. Dembecki, Claimant, v. No. 93-02742 USA Capital Management, Inc., Enrico P. Rusticali, Minton Schmid Scurities, Austin Stone Securities, Inc. f/k/a R. Writer Securities, Inc. Respondents REPRESENTATION OF PARTIES For Claimant: Steven Grossman, Esq., of Investors Arbitration Services, Inc., Woodland Hills, California. For Respondent USA Capital Management, Inc. (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants NASD Arbitration Robert M. Gushiken No. 93-02738 Elaine Gushiken v. Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION For Claimants: Connie G. W. Meredith, Esq., Honolulu, Hawaii For Respondent: Richard S. Dangerfield, Esq., Charles Schwab & Company, Inc., San Francisco, California CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert F. Kuechenberg 93-02726 Name of Respondent Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 13, 1993, Claimant Robert F. Kuechenberg, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. failed to follow proper procedure and prac

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eli Vincent Gaiani 93-02717 Name of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson, Inc. Dana De Windt CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 12, 1993, Claimant Eli Vincent Gaiani, who appeared Pro Se, alleged that Respondent Dana De Windt,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bernard L Strassberg 93-02712 Name of Respondent Broadcort Capital Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 12, 1993, Claimant Bernard J. Strassberg, who appeared Pro Se, alleged that during the first week of May, 1993 he had a number of telephone conversations

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mauer of the Arbitration Between Name of Claimant Mary Ann Spollito 93-02697 Name of Respondent Barbara Doueias CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 12, 1993, Claimant Mary Ann Spollito. who appeared Pro Se. alleged that on November 13, 1992 she went to the office of Respondent Barbara Douglas at Dean Witter Reynolds. I