N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tbe Arbitration Between Nameofaaimantrs) Frank Thomas Ayers 94-04089 NameofResDondentfs^ Randall Morse SunAmerica Securities, Inc. AOSSi The Claimant appeared pro se. The Respondent Randall Morse dul not appear. Tbe Respondeat SunAmerica Securities, Inc. was represoited by John J. Nicgorski of die law firm of Mohr, Hackett, Pednson, Blakely, Randolph and Haga,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between Name of Claimantfs) Leon Auerbach Name of ResDondent(s) "E" Trade Securities. Inc. 94-04084 REPRESENTATION The Claimam appeared pro se. For Respondent "E" Trade Securities, Inc.: Thomas C. Laris. Vice Presidem of Trading, "E" Trade Securities, Inc.. Palo Alto, CA. The Respondent appeaned via a telephonic conference call. CASE INFORMATION

94-04074 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of die Arbitration Between Wayne A. & Maureen D. Berube Name of Respondent^) Thomas Chenoweth Meridian Associates, Inc. Jack R. Wolff W;ra»|BJBSENTATION For Claimants appeared Thomas H. Tucker, Esq. of McGowan, Engel, Tucker, Garrett, et. al., Boston, Massachusetts. Respondents Meridian Associates, Inc. and Jack R. Wolif did not appear. Respondent Thomas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Mary L. Lavelle 94-04069 Smith Barney Shearson Inc. Robert B. Bishop REPRESENTATION For claimant Maiy L. Lavelle ("claimant") appeared Earle R. Frost, Jr., Esq. of Frost & Danchak located in Columbus, Ohio. For respondents Smith Bamey Shearson, Inc. ("Smith Barney") and Robert B. Bishop ("Bishop") appeared Marion S. Chan, Esq., Vice President and Associate General Cou

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas Urban and 94-04061 Robert W Baird &Co.. Inc. and Charles Kuha CASE SUMMARY In the Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about August 26,1994, Claimant, Thomas Urban ("Urban") by and through his counsel, James A Bolt, Esq., Sole Practitioner in New Berlin, WI, alleged that the Resp

NASD Arbitration No. 94-04052 WtA.S.P. AWARD NATIQWAT. ASSnrTRTIQN OF SECURITTES r)P.AI.ERS. TNP. In the matter of the Arbitration Between Name r>f riaimantfs) Richard F. Lutomirski and Paula Lutomirslci, Co-Trustees of the Lutomirski Family Trust Name nf Respondent, (s^ Gretchen Schorr TriQuest Financial, Inc. RBPRESgMTATION For Claimant: Richard F. Lutomirski, Los Angeles, Califomia For Respondent Gretchen Schorr: Gretchen Scho

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Martin N. Piper and Edith B. Piper, JTTEN 94-04048 Name of Respondent PC Financial Network Qaimants Martin N. Piper and Edidi B. Piper appeared pro se. For Respondent PC Financial Network ("PCFN") appeared David J. Campbell, Esq., from the firm of Pershing Divison Donaldson Lufkm & Jenrette Securities Corporation, Jersey City, New

CONSOUDATED CASE N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Names of Claunants: Violet L. Crews 94-04044 Doyle E. Elliott & Betty J. Elliott 94-04221 Lois L. Major 94-04222 Willis L. Wright & Dorothy E. Wright 94-04223 WMBW9fBfigP9fltfCTtt; Merle B. Gross Angel Munoz James Miranti, Sr. Third Party Respondents: US Clearirig Securities Coip. Kohn, Herbert & Associates

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Beverly Bell, Claimant v. Morgan Stanley Dean Witter and Christopher M. Jette, Respondents Case Number: 01-04425 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Patrick L. Hosey, Esq. Sherry S. Bahrambeygui, Esq. Hosey & Bahrambeygui San Diego, California For Respondents: Jennifer A. Zolezzi, Esq. Jones, Bell, Abbott, Fleming &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph Paul Smith and Lorraine Dumane 94-04027 WamgrfR«B9n^9nt Olde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 28,1994, Claunants Joseph Paul Smith and Lorraine Dumane, who appeared pro se, alleged that Respondent Olde Discount Coiporation did n