N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimant Nathan Lilienthal 93-01871 Name of Respondent Shearson Lehman Brothers, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 10, 1993, Claimant Nathan Lilienthal, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, Inc. charged him a $50.00 account tee without ev

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant NASD Arbitration No. 93-01868 Cindy Harbarger Graves v. Name of Respondents Dean Witter Reynolds, Inc. Celia Taylor REPRESENTATION For Claimant: Richard J. Pinto, Esq., Capistrano Beach, California For Respondents: David Restaino, Esq., Dean Witter Reynolds, San Francisco, California CASE INFORMATION Statement

N.A.S.D. A\VARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Betty Joneschild 93-01867 Name of Respondents Shearson Lehman Brothers, Inc., n/k/a Smith Barney Shearson, Inc.; Michael Perez REPRESENTATION For Claimant: Betty Joneschild ("Joneschild") was represented by Thomas L. Popejoy, Esq. of the Popejoy Law Offices, located hi Albuquerque, New Mexico. For Respondents: Shearson Leh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) George B. Hopping Name of Respondents) Shearson Lehman Brothers. Inc. DonaJd James Rentz 93-01866 REPRESENTATION For Claimant: Peter J. Karabas, Esq. of Abramson & Fox, Chicago, IL. For Respondents Shearson Lehman Brothers. Inc. and Donald James Rentz: Linda R. Alpert, Esq. of Smith Barney Shearson, Inc., New York, NY.

.06/19/02 WED 09:28 FAX NASD REGULATION 1016 AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant John E. Storheim, Jr. and 00-03632 Phoenix, Arizona Name of Respondent Scottsdale Securities, Inc. REPRESENTATION OF PARTIES John E. Storheim, Jr. ("Claimant") was represented by John J. Miller, Esq., Law Offices of John J. Miller, P.C., Kansas City, Missouri, and Tracy Pride Stoneman, Esq., T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Owen Cowitt 93-01865 Name of Respondents J. Gregory & Company, Inc. William F. Kern, Jr. REPRESENTATION For Claimant Owen Cowitt ("Cowitt"): Steven B. Getzoff, Esq. of the law firm of Lester, Schwab, Katz & Dwyer. For Respondents J. Gregory & Company, Inc. and William F. Kern, Jr. ("Respondents"): Jeffrey S. Rosen, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William H. Long Trustee/W.L. Trust 93-01863 Name of Respondent First National Brokerage Services CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 10, 1993, Claimant William H. Long, who appeared Pro Se, alleged that Respondent First National Brokerage Services failed to notify him

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf PaineWebber, Inc. 93-01859 Name of Resqflinfefi{ David Okomo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 10, 1993, Claimant PaineWebber, Inc. , through its in-house counsel, Garry J. Stegeland, Esq. , alleged that Respondent David Okomo failed to pay a debit balance be incurr

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Fischer 93-01857 Name of Respondent M.H. Meyerson & Co,, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 7, 1993, Claimant Robert Fischer, who appeared Pro Se, alleged that on November 24, 1992 he was solicited by Mr. Frank Lorenzo of Respondent M.H. Meyerson

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Mark B. Epstein and Angela Epstein 93-01856 Name of Respondent s) Bear Stearns & Company, Inc. Lawrence Spaulding Rule REPRESENTATION For Claimants Mark B. Epstein and Angela Epstein: William Paul Mason, Esq. of the law firm of Weiner & Associates, Atlanta, GA. For Respondents Bear Stearns & Company, Inc. and La