N.A.S.D. AmSD 11A33CI1AL ASSOCTATJCM OF SBCDRTnES QSXSBS In tbe Matter of tbe Aibitration Between Mane of daiaanta fhtm staan **"i'j Susan Itang of 91-02380 APS Financial OOrpozation daiaants Suaan Nng and Cam Sfaaa Mug ware ripreaited by Stuart C. GOlAerg, Esq. and Jennifer D. Soldaoo, Esq. of tbe Xar Offieae of Stuart C. Goldserg, located in Auatin, Texas. Raspcndafit MS JFJuannlal Oazpozatloo waa rapteaantad by satridc lanier, Esq.

ir.A.S.D. AMATO MTOICNAL ASS0CZA3TCN OF SBCDRmES DEAI2RS In the Matter of the A^itraclon Bet ^m^o^QainB^(8) ghnfianrf BSwiH T.4tiri«-ari Faztasrstaip, etail. 91-01981 nf nrnnnrW^irfn) Kurt H. F€ Stockfaridge Partners, Inc. Micbael J. Olaclc For Clatmant: Tlioiias G. Shapiro, Esq. of Shapiro, Grace & Haber. For Respoodents: Huk W. Smith, Esq. of Latham & waticins in San Francisco, California. Staconeat of Claim filed: June 25, 1991.

AWARD NASD Regulation, Inc. In the Matter ofthe Arbitration Between Name of Claimant Lillias M. Philand and 98-02999 Name of Respondents U.S. Bancorp Investment Services, Inc. Steve B. Stillwell REPRESENTATION OF PARTIES Lillias M. Philand ("Claimant") was represented by Horace A. Lowe, Esq., H.A. Lowe & Associates, LLC, Denver, Colorado. U.S. Bancorp Investment Services, Inc. ("Respondent USBI") was represented by Nancy B. Smith, Es

AWABO NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimant(s) Kevin Terry Name of Respondent(s) Lexington Capital Corporation Michael P. O'Sullivan Robert W. Lisnoff, Jr. James L. Bila Alan M. Berkvin Arbitration No. 98-03001 REPRESEliTATIOlI For Claimant: David W. Studley, Esq., San Francisco, California For Respondents: Joseph R. Corozzo, Esq., Rubinstein & Corozzo, P.C, New York, New York

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Arvid L. Barth and Joann M. Barth, (Claimants) vs. Smith Hayes Financial Service Corporation and William Shreve, (Respondents). Case Number: 98-02994 Hearinq Site: Omaha, Nebraska REPRESENTATION OF PARTIES Claimants, Arvid L. Barth and Joann M. Barth, hereinafter referred to as "Claimants": Rodney Vincent, Esq., Vincent Law Offices, Lincoln, Nebraska. Respondents, Smith Hayes Fina

Award NASD Dispute Resolution, Inc. In die Matter of die Arbitration Between: Thomas E. Muiphy, (Claimant) vs. Legg Mason Wood Walter, Inc., (Respondent) Case Number: 98-02977 Heariny Site: Boston, Massachusetts REPRESENTATION OF PARTIES Cbimant Thomas E. Muiphy, heremafter referred to as "Chumant": John R. Blate, Esq., Bowdhch & Dew^. LLP. Worcester, MA. Respondent L^g Mason Wood Walter, Inc.. heremafter referred to as "Reqiondent": Biyan G. Killia

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Ralph V. Lewis and 98-02965 Name of Respondents L.T. Lawrence & Co., Inc., and James Toto REPRESENTATION OF PARTIES Ralph V. Lewis ("Claimant") was represented by Louis Eisenbarth, Esq., of Sloan, Ustrom, Eisenbarth Sloan & Glassman, L.L.C., Topeka, Kansas. L.T. Lawrence & Co., Inc. ("LTL") was not represented by counsel and did not appear at the he

NATICNAL ASSOCIATICN CF SECURITIES CEALERS, INC. Ir. -r.s Matcar zt zhe Arcicracisn Becween Afifi .Abode and Denise Abode • Claimants vs. West Coast Securities, .-i/Jc/a l.M. 2rew & Associaces, Inc. James Hale Susan Hale Resoondents CASB »91-00783 ANABD CASE SUMMftRY In a claim filed wich che National Association of Securiciet Dealers, Inc. on March 12, 1991, Claimants, Afifi Abode eUid Denise Abode by and through Gle

N.A.S.D. AHARD NKUCNAL ASSrciAXKXI OF SECURITIES DEAIfBS ' In tte Hatter of tte Arbitration Betweoi NASD #91-00531 Donald Stewart Eric Rothberg Oiatfield Dsen & Coocany Investment Banters For Clainant: Claiasnt ^^ QQ BHk* For Reepondait Rottdaecg: Morten wainsr, Esq., Gcau 6 Mainsr, New York, New York. For Rsspondent Chatfleld Oaant D. Elizabeth Hilla, Eaq., Chatfield Daan & Goifany, Englewood, Colorado. Stataaant of

N.A.S.D. MOSD tIATICNAL ASSOCIAUCK OF SBCOBims EBUSIS In tte Matter of tte Azbitzation Kelly'°B3B3B'^"'""" Kyle Mazburger NASD Azbitration vs. 91-00440 Gl 13cwn5n^eSSS5ta^^™^ Bazzy fiUlraiwn Hedbuah Morgaa Seouzitdas, Inc. For daimants: J. Jeffzay Morris, Eeq. For Reapcodsatt GliJcanan Seeuritiaa - TTiaamiji B. Shsiwm Hazzy ffliTraafwi - Alyse ffltlrawin Sseuzitiaa, Ine. - Mazia E. Eaten Steteaant of daia f llsdt Februazy U, 1991