N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patrick Dora 93-01849 Names of Respondents Kemper Securities Inc., John letter and Daniel Laraway REPRESENTATION Claimant, Patrick Dora ("Dora") was represented by Michael Salcido, Esq. of Scottsdale, Arizona. Respondents, Kemper Securities, Inc. ("Kemper"), John Jetter ("Jetter") and Daniel Laraway ("Laraway") were

N.A.S.D. AWARD Name of Claimant Ronald E. Nielsen No. 93-01844 Name of Respondent Dickenson & Co. f/k/a R. G. Dickenson & Co. REPRESENTATION OF PARTIES For Claimant: Bruce Pearson of Pearson, Inc., Fargo, North Dakota. For Respondent: Catherine A. Gnatek, Esq., of Dorsey 6c Whitney, Minneapolis, Minnesota. CASE INFORMATION Statement of Claim filed on or about: May 6, 1993. Claimants' Submission Agreement signed: March 15, 1993. S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eugene Reich 93-01842 Name of Respondent Shearson Lehman Brothers, Inc. Winston Zabiela CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 7, 1993, Claimant Eugene Reich, by and through his counsel, Thomas J. Hannahan, Sole Practitioner, New York, NY, alleged that on or about July

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel J. Schlewitz 93-01823 Name of Respondent Coordinated Capital Securities of Wisconsin, Inc. REPRESENTATION For Claimant: Daniel J. Schlewitz ("Schlewitz") was represented by Bruce Pearson of Fargo, North Dakota.. For Respondent: Coordinated Capital Securities of Wisconsin, Inc. ("Coordinated Capital") was represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jonathan O. Swan, et al. Award vs. # 93-01815 Name of Respondents George A. Klepacki Moors & Cabot, Inc. REPRESENTATION For Claimant, Jonathan O. Swan individually and as Trustee for Cygnet Real Estate Trust ("Claimant"), Joseph P. Carmichael, Esq., located in Salem, Massachusetts. For Respondent, Moors & Cabot, Inc. (

Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Names of Claimants Mary Anderson Mackie Trust Mary Anderson Mackie Richard Glenn Mackie Trust Richard Glenn Mackie Names of Respondents Legg Mason Wood Walker, Inc. Frederic Kirby Newburger Kevin George Mackey Case Number: 00-03677 Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For Mary Anderson Mackie Trust, Mary Anderson Mackie, Richard Glenn M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Louis G. Marchman and L. Kamau Marchman 93-01811 Name of Respondents Darwin K. Yarborough Alfredrick Williams CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 5, 1993, Claimants Louis G. & L. Kamau Marchman, who appeared Pro Se, alleged that Respondent Alfredrick Williams, form

12-21-1994 04:15PM FROM NASD Arbitration/Chicago TO 12128583974 P.18 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name fif Keraper Securites, Inc. and 93-01802 Name of Respondent EnzoPaolilli REgRESENTATIQN OF PARTIES Claimant was represented by A. Brad Busscher, Esq. and Reran I. Sugarman, Esq. of Kemper Securities, Inc., Chicago, Illinois at the hearing. Respondent represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elaine Kramer 93-01799 Name of Respondents Smith Barney Harris Upham & Co.. Inc. Ronald J. Russo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 4, 1993, Claimant Elaine Kramer, who appeared Pro Se, alleged that Respondents Smith Barney Harris Upham & Co., Inc. and Ronald J. Ru

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 93-01792 Name of Respondent Thomas M. Reindl REPRESENTATION For Claimant PaineWebber, Inc. ("Claimant"): Edward P. Degenhardt, Litigation Counsel at PaineWebber, Inc. For Respondent Thomas M. Reindl ("Respondent"): appeared pro se. CASE INFORMATION Statement of Claim filed: May 3, 1993 Claimant's S