?!ATJ.0^1AL ASSOCIATIC:; OF SECURITIES DEALERS, INC. In the iNfftter of Arbitration Setween EMAGENE E. SCHNERING Claimant V . RAUSCKER FIERCE REFSNES, INC, and EDDIE BLOOMFIELD Respondents AWARD CASE NO. 88-02813 CASE SUWARY In a claim filed with the NASD on September 2, 1988, Claiipant Emagene Schnering ("Schnering") alleged that Respondents Rauscher Pierce Refsnes, Inc. ("Rauscher Pierce") and Eddie Bloonifield ("Bloomfield") mis

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTIES DEALERS In the Matter of the Arbitration Between Mame nf (Claimants Stela Lococo Enace Lococo Stella Lococo as Custodian for • y^^^^^j^^- Robert Loox^ Award No. vs. 93-05424 Name of Resixjndents Smith Barney Harris Upham & Co., Inc. Thomas Jeremiah Adams John Dew REPRESENTATION For Claimants, Stella Eococo ("Claimants"), Daniel H. Kelleher, Esq., located in Boston, Massachuse

FROn HRSD.INC. ee.51.1999 06133 P. 1 NJLTIONAL N.A.S.D. AWARD ASSOCIAnON OF SECURITIES DEALERS r u 111 the Miner of the Aibltiadoii Between Name bf CTattrnini Ha sel L. Bilnis. IndlviduaUy and u wiMl lUiresafltative of the Bsque of Jidnes H. Bumi MebiU Lyo^h Pierce Fenner A Smith Inc FSI; Seourtties Coip. Chi fifls w. Bhafer Hairy C. ICciwadla 92-03242 Poi Claimant Hazel L. Bunii. IndlviduaUy and as Ferwnal RepreieataUv

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Louis T. and Elizabeth Baine 91-02668 Name of Respondents Bear Steams & Company Curtiss Parker REPRESENTATION For Claimants s Jeaime Bynum Hipes, Esq. of the law firm of Vaughn & Murphy For Respondents! Teriry R. Weiss, Esq. of the law firm at Smith, Ganbreli 6 Russell CASE INFORMATIOM Statement of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. -41^ ."s •••/i>.-V-- The Pinnacle Group, Inc. Claimant V. Thomas E. Kearns Respondent V. Lee A. Folger, III V.-' :- A.W.A.R.D #88-03724 Third-Party Resporident CASE SUMMARY The Statement of Claim in this matter was filed Arbitration Department of the N.A.S.D on December 8, 1988'. Claimant, The Pinnacle Geoup^ Inc. (Pinnacle) and Respondent, cee A. Folgef, .'JDCI, (F

Arbitration No. 97-05106 AWARD NA5D REGULATION. INC. In the matter of the Arbitration Between Name of Claimant(s) Gene P. Lawing Name of Respondent(s) George Stambouli Benito Sauceda REPRESENTATION For Claimant: Gene P. Lawing, Vashon, Washington For Respondent George Stambouli: George Stambouli, Brooklyn, New York For Respondent Benito Sauceda: Cynthia King Sadick, Esq., Boulder, Colorado CASE INFORMATION Statement o

N.A.S.D. miBD ( NmONAL ASSQCIATIGN OF SECURITIES DEALERS In the Matter of the Arbitration BetMeerx tfame of Plaimar^t Charlen E. OuFont, Jr. 88-03853 Mam* nf Merrill Lynch, Fierce, Fenner & Smith Merrill Lynch Money Mcuckets, Inc. Merrill Lynch and Co. Claimants v«re represented by Stuart Bennett of Brega & Winters, P.C. of Denver, CO. RespoiKients v»re r^resented by Elizabeth W. Sachs and Vic McMierter of Paul, Hastings, Janofsky & Wa

>'-S\ PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claunant Eugene Miller vs. 92-00957 Name of Respondents J.W. Gant and Associates, Inc. Nicholas Salerno CASE SUMMARY In a ciaim filed with the National Association of Securities Dealers, Inc. on March 18, 1992, Claimant Eugene Miller by and through his personal representative Brian Lowe of Investors Arbitration

M..A.S D. .AWAilD NATIONAL .ASSOCIATION OF SECLTUTIES DEALERS In the Matter or' the Arbitration Between Name ot Claimant .A.mar K. Savia '52-02323 •Name of Respondent t^liatTielu Dean .ic Co. C.\SE SL'MMAyV In a ulaitn filed with the .Natii)nai .As.sociation ot Securities Dealers. Ino. nn July 14. 1^^:. I'Liiiiunt .Ainar K. Sa\la. AIUI appeared Pro Se. alleged that Respondent Cliatrield Dean .V Co . :hrtHii!n \i\ rcirihtered representati

N^A^D. A VARD NATTONAT •^'?snrTATroM^p..^p^^^,^^^^^^ ^^^^ In dw maaer of the Arbtettion Betwe«i nf riiimiinifO Joyce Kon Catvl Wstkins NASD Arbmon Na92.03495 MraPfiFNTftTTdM Bor Rfl^Ottdent Mati Hales; TW^. T T i « Angdes, Califcrak ^™ ^ ^*''^'»''^ Cooper, EpB«n & Hurewiti, Lo. Seat^nem of CUim fil«i, Ooober 14, 1992 CWinaaa'Snbna«on Agr«e««« joyoe Kosct October ^ iw? Carol V.ddn« 5SJ:7^'S? S»»«menti of Answer filed: JJ^Lj^