c N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC, In the matter of the Arbitration Between Name of Claimant(s) Lou Balesteri Stephen Wininger ©NationalAssociation of Securities Deaiers. Inc, All s Reserved NASD Arbitration No. 95-02994 KT^^TUP nf Respondent (s) Howard Knapp REPRESENTATION For Claimants: Lou Balesteri, Milpitas, California and Stephen, Wininger, San Jose, California For Respondent How

N.A.S.D. AMARD mnCNAL ASSOCZKEICN GF SBCQRHIES DEALERS In the Matter o£ tbe Azbltxatdcn Betweea name of Clalimnts Alexandrliia TreoBva. vs. MASD #91-02734 Sbearscn Lebaeai Brothers, ZDC. William Fade For Claimant: Alexander H. Singleton, Esq., San Jose, Gallfomia For SespoDdents: Ralph P. Sc±lavo, Esq., Shearson Lehman Brothers, New Yoric, Near York Stateaent of Claim filedt Septadoex 3, 1991 dedsant's Submission Agreement signed: August 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name_ofClairnant Dennis Ganendra 9504916 Name of Resnondents •^mith Barney Shearson Inc. Mark H. Egener CASE STJMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 17, 1995, Claimants Dennis and Shalini Amerasinghe Ganendra alleged that Respondents Smith Bamey Shearson Inc. ("Smith Barney") and Mark H.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, of the Claimant Michael Kalina asp. Number 02-04555 Name nf the Respondent Salomon Smith Barney, Inc. Hearing Site: Washington, DC Nature of the Dispute: Customer vs. Member. RRPRRSKNTATTON OFPARTTRS Claimant, Michael Kalina "Claimant", was represented by Steven D. Toskes, Klayman & Toskes, P.A. ,Boca Raton, Florida. Respondent, Salomon Smith Barney, Inc. "

No. 95-05144 AWARD NASD Regulation, Inc. Office of Dispute Resoiution In the Matter of the Arbitration Between Summit Investment Corp., Claimant, V. Donald EH Nemer II, Respondent. REPRESENTATION Claimant Summit Investment Corp. was represented by Joseph Fleming, Esq. of Summit Investment Corp. located in Miimeapolis, MN, Respondent Donald Eli Nemer, U was represented by Rebecca E. Bender, Esq. of Rebecca E Bender & Associates, P.A. lo

95-05062 consolidated with AWARD*. NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between jsT^me nf Claimant RAF Financial Corporation and Name of Respondents/Counterclaimants Shen Chou and Chen Ping Shih Chang Amy H. Huang Kuei Chen Lin and Yu-Tsai Lin >J?Tyie nf Claimant Troy R. Peterson and N^ine rff Respondent RAF Financial Corporation REPRESENTATION OF PARTIES RAF Financial

NA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant J.W. Charles Securities, Inc. 95-05154 Nmn^^esoondent Randolph Bealer TASK SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 31, 1995, Claimant J.W. Charles Securities, Inc. ("Claimanf), through its representative and in-house counsel, Gregory Tendrich, Esq., alleged that Respondent Rand

N A S D. AWARD NATIONAL ASSOCL\TION OF SECURITIES DEALERS In the Matter of the Arbitration Between National Association of SecuniiesDealers, Inc. Name of Claimant Edwin M. Speyerer All Rights Reserved 9505225 Name of Respondents M. Rimson & Co., Inc. Alex Shindman CASE SUMMARR In a claim filed with the National Association of Securities Dealers, inc. on November 3, 1995, Claimant Edwin M. Speyerer, who appeared Pro Se, alleged that

"'0 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS © National Association of Securities Dealers, Inc. In the Matter of the Arbitration Between All Rights Reserved Name of Claimant Associated Securities Corp. 95-05256 Name of Respondent William Earl Fisher CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 6, 1995, Claimant Associated Securities, Corp. ("Claimanf') through

c N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sharon Ifet Name of Respondents Dean Witter Reynolds Inc. Joseph Schmidt Name of Claimants Dean Miller NASD Arbitration No. 91-03195 Consolidated with NASD Arbitration No. 91-03196 Name of Respondents Dean Witter Reynolds Inc. Joseph Schmidt REPRESENTATION For Claimants: Keith A. Ketterling,