N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants William E. Brookhauser Virginia Brookhauser No. 93-01891 Name of Respondent R.G. Dickenson & Co. n/k/a Dickenson & Co. REPRESENTATION OF PARTIES For Claimants: Bruce Pearson of Fargo, North Dakota. For Respondent: Catherine Gnatek, Esq., of Dorsey & Whitney, Minneapolis, Minnesota. CASE INFORMATION Statement of Claim filed on or about May 10, 1993. Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFATFRS Name of Claimants David A. Mclnnes Laura L. Mclnnes No. 93-01888 Name of Respondent R.G. Dickenson 6c Co. n/k/a Dickenson & Co. REPRESENTATION OF PARTIES For Claimants: Bruce Pearson, of Pearson, Inc., Fargo, North Dakota. For Respondent: Catherine A. Gnatek, Esq., of Dorsey & Whitney, Minneapolis, Minnesota. CASE INFORMATION Statement of Claim filed on or about: May 10, 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Art Knoeiler 93-01886 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc John Albert Hinken REPRESENTATION For Claimant, Art Knoeiler ("Knoeiler"): Harry M. Hobbs, Esq., Tampa, Florida. For Respondents, Merrill Lynch, Pierce Fenner & Smith, Inc. ("MLPFS") and John Albert Hinken ("Hinken 11 ): Burton W.

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Vincenzo and Maria Perfili and 00-03685 Southfield, Michigan CCM Financial Corporation Seger Financial, Inc. Washington Square Securities, Inc. Donald J. Whitton Jeftrey A. Egan REPRESENTATION OF PARTIES Vincenzo and Maria Perfili were represented by David M. Foster, David M. Foster, P.C., Farmington Hills, Michigan. CCM Financial Corporation ("CCM") was

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants C.F. Moseley & Clara D. Moseley Trust tor Ada Moseley Jeffries, Mercantile Bank of Kansas City, successor 93-01885 Name of Respondent Randy Burch CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on May 11. 1993. Claimants C.F. Moseley & Clara D. Moseley Trust for Ada and Me

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William G. & Susan £. Monroe 93-01884 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 11, 1993, Claimants William and Susan Monroe who appeared pro se, alleged that Respondent Charles Schwab and Co. failed to follow their

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dolores J. Desmond Name of Respondents PaineWebber, Inc. Timothy John Sheefaan 93-01881 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 11, 1993, Claimant Dolores J. Desmond, who appeared Pro Se, alleged that in January 1992 Respondent Timothy Sheehan of Respondent firm PaineWe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard G. Hawks 93-01879 Name of Respondent Hamilton Investments. Inc. REPRESENTATION OF PARTIES For Claimant at the hearing: William C. Murphy, Esq. of Murphy, Hupp, Foote, Mielke, & Kinnaily, Aurora, Illinois. For Respondent at the hearing: Rosemarie J. Guadnolo, Esq. of Horvath & Lieber, Chicago, Illinois. CASE INFO

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter A. Spoehr 93-01878 Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. CASE SUMMARY In a claim Hied with the National Association of Securities Dealers, Inc. on May 11, 1993, Claimant Peter A. Spoehr, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc., through its registered

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Corinne Mattioli vs. Award NASD #93-01872 First Investors Corporation Carlos Combest REPRESENTATION For Claimant: Reed H. Bement r Esq., San Francisco, California. For Respondents: Lisa L. Ferneau, Esq., Kirkpatrick & Lockhart, Washington , D . C . CASE TMTPQPMATTQtT Statement of Claim filed: May 11, 1993 Amendment to Cl