N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Eugene Howard 93-01085 Name of Respondem(s) William Dodson REPRESENTATION For Claimant, Eugene Howard ("Howard"), Russell L. Forkey, Esq. of Deerfield Beach, Florida. For Respondent, William Dodson ("Dodson"), Lloyd R. Schwed, Esq. of Honigman Miller Schwartz and Conn in Miami, Florida. CASE INFORMATION Statement

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gilbert A. & Carolyn H. Wesson 93-01084 Name, Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 22^ 1993, Claimants Gilbert & Carolyn Wesson, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., through its representative,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William Harrison and Shirley Harrison 93-01083 Respondents Prudential Securities, Inc. William Tatro CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 22, 1993, Claimants William and Shirley Harrison, who appeared Pro Se, alleged that in the latter part of 1986, Respondent Prudential Sec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Isadora Fendelman and Bernice Fendefman 93-01080 Name of Respondents Newhard, Cook & Co., Inc.; Harry W. Newhard RRPRKSRNTATIQN For Claimant: Isadora and Bernice Fendelman were represented by Howard S. Smotkin, Esq. of Riezman & Blitz, P.C., located in St. Louis, Missouri. For Respondents: Newhard, Cook & Co., Inc. was rep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUTUTffiS DEALERSnlNG. (ffi 1& lj ^7 ll \\\\ it-7~ \ ^ vu; t_ ., •.- MJ In the Matter of the Arbitration Between " ,]UN 2 8 1994 Name of Claimant ARBITRATION -Ort Pascuala Y. Cabreras and 93-01076 Name of Respondent Kenneth Puckett REPRESENTATION OF PARTIES Claimant, Pascuala Cabreros was represented at the hearing by Steven Samson, Esq. of Law Offices of Steven Samson, Evanston, Illinois.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Ron, Kenneth and Herman Winkeihake and 93-01072 Name of Respondents Smith, Barney, Harris Upham & Co., Inc. and Richard Guercio REPRESENTATION OF PARTIES Ron, Kenneth, and Herman Winkeihake ("Claimants") were represented at the hearing Pro Se by Ron Winkeihake. Smith, Barney, Harris Upham & Co., Inc. ("Smith Barney")

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Helen Entenmann, Individually and as Trustee of the Helen Entenmann Trust Claimants v. NASD No. 93-1069 Crov/eLL Weedon & Co. and Mark E. Graham Respondents Representation For Claimant: JeffFerentz of Greenbaum & Ferentz of Newport Beach, CA For Respondent: John Blue, Esq., Kevin Fanner, Esq. and James Sobieski, Esq. of Adams, Duque and Hazeltme

—^ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Previously Owned Partnerships Income Fund H NASD Arbitration No. 93-01066 Name nf Respondent Liquidity Fund Investment Corp. REPRESENTATION For Claimant: Mr. Charles E. Patterson - Previously Owned Partnerships - Lafayette, California. For Respondent: Darryl P. Rains, Esq. - Morrison & Foerster - San Francisco, Cal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Catherine L. Blouin 93-01061 Name of Respondent Guy W. TrujUlo Economic Consultants, Inc. Sun America Securities, Inc. REPRESENTATION For Claimant at the hearing: Robert R. Biglow, Esq., Minneapolis, Minnesota. For Respondents Sun America Securities, Inc. and Guy Trujillo at the hearing: Julie L. Levi, Esq. of Meagher &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Nafrie of Claimant William Manning, NASD Arbitration No. 93-01059 v. Name ot Respondent Frank Baumgartner REPRESENTATION For Claimant: William Manning, Eugene, Oregon. For Respondent: Thomas C. Sand, Esq., Miller, Nash, Wiener, Hager & Carlsen, Portland, Oregon. CASE INFORMATION Statement of Claim filed: March 19, 1993 Cla