PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of James J. and Mary A. Marks 93-01121 Name of Respondents Keith Dunton Hamilton Investments, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 23, 1993, Claimants James J. and Mary A. Marks, who appeared Pro Se, alleged that on December 3, 1991 Claimant James J. Marks met

03-21-1934 64:09PM FROM HflSD flrbitration'Chicago TO 12128584141 P.02 NJLSJX AWAid) NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of roe Arbitration 'Between Qf Claimant lUnda K.Y. Cottingham and 93-01120 Name nf Respondent Prudential Securities, inc. OF PARTIES Ilinda K.Y. Cottinghaia ("Claimant") was represented by James D. Jameson, Esq., Austin, Texas. Prudential Securities, Inc. ("Respondent") was represented by Don

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Leslie and Priscilla M. Pearce 93-01117 Name of Respondents M.H. Meyerson & Co., Inc. Thomas T. Heichakowski CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 23, 1993, Claimants Leslie & Priscilla Pearce, who appeared Pro Se, alleged that Respondent Thomas T. HerchakowskL, of the Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Richard and Joanne Agro 93-01113 Name of Respondent s) Dean Witter Reynolds, Inc. Larry Sheffield REPRESENTATION For Claimants, Richard and Joanne Agro ("the Agros"): Mark A. Tepper, Esq. of the law office of Mark A. Tepper, Esq., Hollywood, Florida. For Respondents, Dean Witter Reynolds, Inc. ("Dean Witter") and Larry S

12-1.7-1993 11:19PM FROM NftSD flrb it rat ion/Chicago TG 121285G4141 P.01 ZT.JUS.D* Afisoeiarioff OF sfietmrnga G* Tarelanark corporation : Httited IirvesLtbrs Management Torcbmarte Developdieot . Corporation Uaiueci iiiveators Real sstace. Waddell & Reed, Iiic* Corporal ion For Claimant: Dennis E. Sgaa r Esq,, of Kansas City, Missouri. For Respondents: w* perry Brandt^ Ssq., of Stinson, Mag & Fisaell, F.C-, Kansas City^

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between 93-01106 Arnold Stanton Lustig Claimant AWARD OF ARBITRATORS vs. Wheat First Securities, Inc. James T. Donley, Jr. Robert Kaveny Respondent The undersigned panel of three Arbitrators, sitting in Pittsburgh, Pennsylvania, heard the subject case in seven (7) sessions, consisting of two (2) sessions on Monday, February 14, 1994; two (2) sessions

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas Thompson and Doris Thompson 93-01101 Name of Respondents Hayne, Miller & Farni, Inc. Michael S. Wheeiock Nancy K. (Sullivan) Kiger REPRESENTATION For Claimants at the hearing: Thomas F. Hutchinson, Esq. of Eastlund, Solstad & Hutchinson, Ltd., Minneapolis, Minnesota. For Respondents at the hearing: Gregory J. St

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SF< TtJRrrTF.S PEA^pRS- TWC. !n the matter of the Arbitration Between of Claimant Madeline fienaon NASD Arbitration No,93-OllOQ of Stueamon Lehman Brothers, Inc. Glen Straws For Claimant: Robert Roth, Investors Arbitration Services, Woodland Hills, CaUfbrak For Respondents: David M Bartholomew, Esq.* and Elizabeth J. Harris, Esq., Keesai, Young Ac Login, Long Beach, California CASE TTSJPORM ATTON

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maiter of the Arbitration Between Name of Claimant Elizabeth L. Rawlins 93-01089 Name of Respondent David P. Grail CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 22, 1993, Claimant Elizabeth L. Rawlins, who appeared Pro Se, alleged that Respondent David P. Grail of Merrill Lynch, Pierce, Fenner & Smith, Inc., caused the value of

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Irene M. Erwin, IRA, Claimant v. Morgan Stanley Dean Witter and Anthony Ray, Respondents Case Number: 00-03601 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Rick Erwin Non Attorney Representative Nipomo, California For Respondents: Anne Tennant Cooney, Esq. Morgan Stanley Dean Witter San Francisco, California CASE INFORMATION