NASD Arbitration No.94-05395 N.A.S.D. AWARD NATTONAT. A.< {SnrTATTnN OF •< {PrTTRTTTF..S T^FAT FRR TMP In the matter of ^ Arbitration Between Namft nf riaimanf Ronald B. Eisen NuiTift nf RftspnnriCTt Kemper Securities, Inc. n/k/a Everen Securities, Inc. REPRFnSENTATTnN For Claunant: Stuart M. Bmwn, Esq., Brown & Truesdell, Portland, Oregon For Respondent: Fredrick D. Huebner, Esq., Helsell. Fetterman, Martin, Todd & Hokanson, Seattle,

NASD AWARD NATIONAL ASSOCIA-nON OF SECURTIIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Steven and Ann Meyer and No. 94-05422 Name of Respondents Pmdential Securities, Inc. and Marion H. Griffm REPRESENTA'nON OF PARTIES Claimants Steven and Ann Meyer, ("Claimants") were rqjresented by Michael G. O'Neil, Esq. of O'Neil & Associates located in Dallas, Texas. Pmdential Securities, Inc. and Marion H. Griffm ("Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claunanf Prudential Securities, Inc. Case No. 94-05379 Name of Respondent Timothy J. Taylor REPRESENTATION For Claimant, Pmdential Securities, Inc. ("Prudential"): Robert A. Saperstem, Esq., Corporate Counsel. For Respondent, Tmiothy J. Taylor ("Taylor"): Robert W. Murphy, Esq., Jacksonville, Florida. CASE INFORMATION Statement of

N.A.S.D. REGin^ATION AWARD NATIQNAT. A.SSOCIATTON OP SFCURTTTFS DEAI.F.RS. INC. In the matter of the Arbitration Between Name of Claimant/s^ Nubar Omekian, individually, and as trustee for Glenoaks Podiatry Profit Sharmg Plan; and Ayda S. Omekian NASD Arbitration No. 94-05376 Name of Rcspflndent(s) Montano Securities Corporation and Richard A. Kaye REPRESENTATION For Claimants: For Respondents: Marc L. Godino, Esq. (appearing on be

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Solveig H. Jorgensen, TTEEJ The Solveig Helene Jorgensen Living Trust Claimant NASD Arbitration v. No. 94-05372 Financial Designs, Ltd. Dunham & Associates Investment Counsel Aubrey Morrow Respondents REPRESENTATrON Off PARTIES Solveig H. Jorgensen, TTEE/ The Solveig Helene Jorgensen Living Trust ("Claunant") was represented by Timothy

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Melvin G. Henninger v. 94-05371 Name of Respondents Josephthai Lyon & Ross, Inc. James G. Oliver Peter Mathews REPRESENTATION For Claimant, Melvin Henninger, appeared Vicki Kuftic Home, Esq., sole practioner, Pittsburgh, Pennsylvania. For Respondent, Josephthai Lyon & Ross, Inc., appeared Robert Murphy, Esq. in-house coun

K.A.S.D. AWARD NATIONAL ASSOCIATION OF SECtJRITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Sanders, individually and as Trustee of the Sarah Hooks Sanders Family Trust 94-05445 Wawift n-F Respondents Prudential Securities Inc Scott Shulnan Thonas Caruso REPRESENTATION Claimant John Sanders, individually and as Trustee of the Sarah Hooks Sanders Family Trust (collectively "claimant"), was represented b

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTTF.S DEAT.FRS. TNC. In the matter of the Arbitration Between Name of Claimant Ashton Gowadia Name of Respondentfs'> Dean Witter Reynolds, Inc., Thomas Hirsch, Michael Noble, Gerald Persch NASD Arbitration No. 94^5442 REPRESRNTATrniVf For Claimant: For Respondents Dean Witter Reynolds, Inc. Michael Noble and Gerald Persch: For Respondent Thomas Hirsch: Henry T. Heuer, Esq. Prince and

NASD Arbitration No. 94-05446 NATIQNAT. ASSOCTATTOVl OF aECTreTTTEfi nBRT.T^RS . TNC. In the matter of the Arbitration Between Name of rialmantfal Bear, Steams & Co., Inc. Nams gf Rftflpgndent(a) Wilfred A. Soucy RgPRgggMTATIOM For Claimant: Peter J. Morgan, III, Esq., Keesal, Young & Logan, San Francisco, California For Respondent: Wilfred A. Soucy, Yardley, Pennsylvania CAgg IMgQRMATION Statement of Claim filed: December 20, 1994

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nowain Family Trust, Claimant v. Morgan Stanley Dean Witter, Inc. and George B. Fascine, Respondents Case Number: 01-06425 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: William F. Davis, Esq. Law Offices of William F. Davis Los Angeles, California For Respondent: Todd Gordinier, Esq. Stradling Yocca Carlson &Rauth Newport Beach, Ca