N.A.S.P. AWARD NATTDWAT. ASSOCIATION OP .qTirTTPTTIES DEALERS. IWC. In the matter of the Arbitration Between Name o£ Claimant(s) A. Fred Miller Judith Silko Miller NASD Arbitration No. 94-04063 Name gf Respgndentfs) Dain Bosworth, Inc. George Lawson RBPRgSEMTATIQlT For Claimants: A. Fred Miller, Judith Silko Miller and Kevin G. Mill%^, Ketchikan, Alaska For Respondents: Molly A. Wurat, Dain Bosworth, Inc., Minneapolis, Minnes

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corporate Securities Group, Inc. 94-04059 David H. Tepperman CASE SMMARY In a claim filed with the National Association of Securities Dealeis, Inc. on October 3, 1994, Claimant Corporate Securities Group, Inc. ("Claimant"), through its'rquesoitative, Gregory Tendrich, Esq. in-house counsel, for Corporate Securities Group, Inc.,

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In die Matter of the Arbitiation Between Name of Claunant Alan Siemens 94-04049 Names of Resiwndents D. Blech&Co., Inc. and David Blech REPRESENTATION For Claimant, Alan Siemens ("Siemens"): Uoyd R. Schwed, Esq. and Dehner C. Cowing, m,* Esq. of Hertz, Schram & Saietsky, P.C, West Pahn Beach, FL. For Respondents, D. Blech & Co.. Inc. ("D.Blech") and David Blech ("Blech"): L. Van

NASD AWARD NfATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Lawson Financial Corporation. Claimant. v. No. 94-04045 Richard L. Oliver, Karen Hermerath, John M. Cartolano, and Linsco/Private Ledger, Respondents/Third Party Claimants Robert Lawson, Pamela Lawson, George Jonovich. and Maime Jonovich, Thirrf-Party Respondents. REPRESENTATION OF PARTIES Claimant/Counterrespondent L

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantf^) William R. and Mary K. MiUer 94-04039 Name of Resiwndentfs) Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION Claunants, William K. Miller and Mary K. Miller ("The Millers"), appeared gm ^e. Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Merrill Lynch"), was represented by Greg May of Munsch Hardt Kopf Ha

N.A.S.D. AWARD NAT^::)NAT. ASSOCTATTON OF SFCT TRTTTF.S DFATFRS. TNC. In the maner of the Arbitration Between Name of Claimant Paine Webber, Inc. NASD Arbitration #94-04036 vs. Name of Respondent Paul W. Laub REPRESENTATTQN For Claimant: Catherine Pratt, Esq. PaineWebber, Inc., Los Angeles, Califomia. For Respondent: Respondent appeared in piQ pey. CASK INFORMATION Statement of Claim filed: Oaober 3, 1994 Claimant's Submissio

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Mary E. Currie 94^)4026 ^fffftf9fRHW°tfffBt Lew Lieberbaum & Co., Inc. gASfiSVMMARY In a -daim filed with th^ ^lational Association of Securities Dealers, Inc. on Sq>tnnb« 26, 1994, Claunant, Mary E. Currie, who appeaxei Pro Se, alleged Aat Respondeot, Lew Liebobaum & Co., Inc.. made misrepresentations to her and churned

NASD Arbitration NO.94-04Q22 iw A s n AWAPn NATTONAT. AfifinCIATinn OF SPrTTRTTTFS HFAT FPJi TNP In the matter of the Arbitration Between Name nf rTaimafit Ronald P. Janarek Name nf RftspnnrifinT Kennedy, Cabot & Co. PTCrai«F.ivrrATTnN For Claimant: Christopher R. Ambrose, Esq., Encinitas, Califomia For Respondent: Geoi^ H. Kupper, Esq., Kennedy, Cabot & Co., Beveriy Hills, Califomia r ACT. iNirnwMATTnM Statement of Claim filed: May

N.A.S.D. AWARD MATIQNAL ASSOCIATION OF SKCTTRITIES DEALERg Robert Lloyd Reinbrecht, Joseph Kyle Jones, and Lori Marie Wellman, Claimants, No. 94-04020 Dickenson & Co., John Michael Herrman, and Timothy Douglas James, Respondents RBPRBSENTATIQW QP PARTTBS Claimants Robert Lloyd Reinbrecht {"Reinbrecht"), Joseph Kyle Jones ("Jones"), and Lori Marie Wellman ("Wellman"), (or referred to collectively as. ^'Claimants") were represented

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants James M. Cryer and Linda B. Cryer and 01-04421 Phoenix, Arizona Name of Respondents Dain Rauscher, Inc. Barbara Fremineur REPRESENTATION OF PARTIES James M. Cryer and Linda B. Cryer ("Claimants") appeared pro se. Dain Rauscher, Inc. ("Respondent Dain") and Barbara Fremineur ("Respondent Fremineur") were represented by Jesse B. Simpson, Esq.