AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Larry Sinks, individually and as custodian for the Michael J. Sinks UTMA account and 01-04037 Kansas City, Missouri Name of Respondents UBS PaineWebber, Inc. George Leff David Vaughn REPRESENTATION OF PARTIES Larry Sinks, individually and as custodian for the Michael J. Sinks UTMA account ("Claimant") was represented by John J. Miller, Esq., L

«) New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Theodore Datohun, Genevieve Leis and Helen Leis vs. Okie Discount Corporatton and Bryant Weintraub. Attorneys: For Claimants): Joseph F. Keenan Esq. - Garden City, NY For Respondent(s): Howard M. Klausmeier Esq. - Detroit, Ml Date Filed: 04/07/1997 First Scheduled: 07/14/1997 Decided: 03/12/1998 Case Summary: Customers vs. Member Finn and Registered (top alteg

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Balnl, Patrick & Co., Inc. v Marie Bell, Lowell Bell and Soshonna Bell v Baird, Patrick & Co., Inc and Roberto Villasenor Attomeys: For Claimant(s): Jeffrey P. Flynn Esq. - Newaric, NJ For Respondent(s): Marie Bell - Roslyn, NY Date Filed: 03/20/1997 First Scheduled: 09/24/1997 Decided: 06/02/1998 Case Summary: Member firm seeks to recover a debit balance of $191,697

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bruce Huff v. Smith Bamey and Eric Boory Attomeys: For Claimant(s): Lori C. Greenberg Esq. - Martton, NJ For Respondent(s): Alejandro Schwed Esq. - New York, NY Date Filed: 03/03/1997 First Scheduled: 08/19/1997 Decided: 01/27/1998 Case Summary: Claimant a public customer, alleges chuming and unsultebllity against Respondente, a member fimi and registered represe

^ew York Stock Exchange NYSE in the Matter of Arbitration Between Case: JamI Lasky v Principal Financial Group and Paul B. Litwicki Attorneys: For Claimant(s): James E. Beckley Esq. - Wheaton, IL For Respondent(s): James J. Eccleston Esq. - Chicago, IL Janiece M. Longoria Esq. - Houston, TX Date Filed: 03/17/1997 First Scheduled:03/31/1998 Decided: \ ^ IZL'^ I f ^ Case Summary: Customer sues member firm and fonner registered representative claim

/ . / / New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co., Incorporated v Paula Karstens Attomeys: For Claimant(s): Lany H. Krantz Esq. - New Yoric, NY For Respondent(s): Barry R. Lax Esq. - New Yoric, NY Date Filed: 03/19/1997 First Scheduled: 08/01/1997 Decided: 07/21/1998 Case Summary: Claimant alleges ttiat Respondentfeiled to repay a loan which was due, pursuantto a promissory note

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas R. Ulle v. Bear Steams & Company Inc. Attomeys: For Claimant(s): Steven B. Caaiso Esq. - New Yoric, NY For Respondent(s): James M. Hubbert Esq. - New Yoric, NY Date Filed: 02/07/1997 First Scheduled: 07/15/1997 Decided: 03/12/1998 Case Summary: Claimant alleges Respondentfeiled to pay a finder's fee for two financings of Watson Pharmaceuticals. Claimant seeks

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Oppenheimer& Co., Inc. v Wynn Tollman Attomeys: For Claimants): Mari< J. Alonso Esq. - New Yori(, NY For Respondent(s): Barry J. Boxer Esq. - New Yori< , NY Date Filed: 02/20/1997 First Scheduled: 10/07/1997 Decided: 04/30/1998 Case Summary: Customer failed to pay margin calls generated by customers trading on the account with member fimi. Memberfirm liquklated cu

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Theodore J. Settle v. The Ohio Company and Jeffrey L. Titer Attorneys: For Claimants): Theodore J. Settle - Blacksburg, VA For Respondent(s): Gregory J. Betchkal Esq. - Columbus, OH Jeffrey L. Titer - Dayton, OH Date Filed: 01/27/1997 First Scheduled: 07/29/1997 Decided: 04/13/1998 Case Summary: Claimant, a public customer, alleges unsuitability, failure to super

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