Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Samuel Richard Scott, Claimant v. Kennedy Cabot & Company (aka Calabasas Asset Holding Company, Inc.), Donald F, Mills, and Allison B. Clago, Respondents Case Number: 00-03600 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Kenneth S.Gaines, Esq. Law Offices of Kenneth S. Gaines Woodland Hills, California Steven L. Miller, Esq. Law

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITY DEALERS. TNC. In the matter of the Arbitration Between Name nf Claimant David Glassel r Trustee, George Qlassel Co. r Inc.. Profit Sharing Plari T nf Resondents NAPEX Financial Corp. National Partnership Exchange, Inc. NASD Arbitration No. 93-01058 REPRESENTATION For Claimant: David Glassel, In Pro Se For Respondent: No Appearance CASE INFORMATION Statement o

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaiinant Mervin Stenzler 93-01057 Name of Respondents Giuntal & Co., Inc. Paul Kramer CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 19, 1993, Claimant Mervin Stenzler, who appeared Pro Se, alleged that he originally maintained an account with Respondent Gruntal & Co., Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Don L. Tran and Hai H. Tran and 93-01056 Name of Respondent Valentin Fernandez REPRESENTATION OF PARTIES Don L. Tran and Hai H. Tran ("Claimants") appeared pro se. Valentin Fernandez ("Respondent") were represented by Steven B. Caruso, Esq. of Hibbard Brown & Company, Inc., New York, New York. CASE INFORMATION Th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James and Edwina U. Dunworth 93-01043 Name of Respondents Shearson Lehman Brothers, Inc. Michael R. Cosgrave REPRESENTATION For Claimants James and Edwina U. Dunworth ("Claimants"): Kevin A. Palmer, Esq. of the law firm of Butera, Beausang, Cohen and Brennan, King of Prussia, PA. For Respondents Shearson Lehman Brother

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William P. Carroll Jr. Pamela L. Carroll JT/WROS 93-01042 Hibbard Brown & Company Inc. Bruce Gregory Buscetto CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 18, 1993, Claimants William & Pamela Carroll, who appeared Pro Se, alleged that Respondent Bruce Gregory Buscetto of the Respond

% N.A.S.D. AWARD NATIONAL ASSOCIATION OF 5ECUPTTTES DEALERS. INC. In the matter of the Arbitration Between Name of Claimantfsl Charles M. Matter, Trustee of The Penelope Wendel Matter Trust and The Diane Wendel Edwards Trust NASD Arbitration No. 93-01037 Name of Respondent(s^ Merrill Lynch, Pierce, Fenner & Smith, Inc. James L. Harbour REPRESENTATION For Claimant: Charles M. Matter, San Marino, California For Respondents: Cha

* N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Kenneth E. Davis Jean R. Davis NO. 93-01035 Name of Respondents Olde Discount Corp. William Osborne £ REPRESENTATION OF PARTIES For Claimants: James J. Moylan, Esq., of James J. Moylan & Associates, Inc., Chicago, Illinois. For Respondents: Bruce A. Campbell, Esq., Corporate Attorney, Olde Discount Corp*, Detroit, Michigan. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Ruth B. Hoehn No. 93-01027 Name of Respondents Shearson Lehman Brothers, Inc. James Lepow REPRESENTATION OF PARTIES For Claimant: £rdner R. Cheshire, Jr., Esq., of McEvoy, Daniels, Hollowell and Cheshire, Tucson, Arizona. For- Respondent Shearson Lehman Brothers, Inc.: J. Emery Barker, Esq., of Mesch, Clark and Rothschild, Tucson, Arizona. For Respondent James

Stipulated Award NASD In the Matter of the Arbitration Between: Kevin Clarke, Claimant v, Allen Douglas Securities, Inc. and Terry Dwight Mixon, Respondents Case Number: 00-03598 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Kevin Clarke, hereinafter referred to as "Claimant": Eric A. Lanigan, Esq., Winter Park, FL. For Terry Dwight Mixon ("Mixon") and Allen Douglas Securities, Inc. ("ADSF), hereinafter referred to as "Respondents": William