N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bernard Miller, as trustee Vivian Miller, as trustee Case No. 92-02591 Narqe of Respondent} Prudemial-Bache Securities Inc. Russell Ken- Mace B. Tamse For Claimants, Bernard Miller as Trustee of the Bernard Miller Trust ("B. Miller") and Vivian Miller as Trustee of the Vivian Miller Trust ("V. Miller"): Jim Scutti, Esq

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALfeRS In the Matter of the Arbitration Between Name of Claimant Financial Institution Clearing Services 92-02588 Name of Respondent Mohamad Vatani CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on August 3,1992, Claimant, Financial Institution Clearing Services, by and through their in-house counsel, Charles E. Scarlett, Esq. alleged that t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of f^ Beth Pressman vs. NASD #92-02586 o Resondents Prudential Securities, Inc., Bateman Eichler, Hill Richards, Inc. Debra McLeod PJjjPftESENTATION For Claimant: H Thomas Fehn, Esq. of Fields, Fehn & Sherwin, of Los Angeles, California For Respondents [Prudential Securities, Inc. (PSI) & Debra Rida aka Debra McCleod [McLeod]: - Pa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nape of Claimants Marilyn D. Jourdet & Mary Lynn Gonzmart 95-02205 Name of Respondent Robert D. Sherwin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 9, 1995 Claimants Marilyn D. Jourdet and Mary Lynn Gonzmart ("Claimants"), who appeared Pro Se, alleged that they held account #30P-06646-017 with

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Pasquale J. Nunzio and Carol M. Nunzio, Trustees of the Pasquale J. and Carol M. Nunzio Trust, Claimant, v. No. 95-05587 Jeffrey S. Kramer and Smith Barney, Incorporated, Respondent. REPRESENTATION OF PARTIES The Claimants were represented by John R. Callahan, Esq. located in Scottsdale, AZ. The Respondents were represented by Ann Parry, Esq. of Smith Barney located in New

NASD FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Delbert Becker. Elvada Becker, and the Becker Unitrust. Baptist General Foundation. Trustee. Claimants. v. No. 94-05078 John L. Kassab, Arthur Vem Heim, Estate of Arthur Vern Heim. and Financial Network Investment Corporation. Respondents. REPRESENTATION OF PARTIES Delbert Becker. Elvada Becker, and the Becker Unitrust. Baptist

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Keith E. Walsh Case No. vs. 94-03300 Name of Respondents CS First Boston Corporation CS First Boston Investment Management Cp REPRESENTATION For Claimant, Keith E. Walsh ("Claimant") Richard M. Gelb, Esq. from the law firm of Gelb & Gelb located in Boston, Massachusetts. For Respondents, CS First Boston Corporation ("CSFBC") and CS First Boston Inve

Award NASD Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rauscher Inc., Claimant v. Morgan Stanley DW Inc., Grace E. Kim, and Jared B. Salter, Respondents Grace E. Kim and Jared B. Salter, Counter-Claimants v. RBC Dain Rauscher Inc., Counter-Respondent Case Number: 05-03854 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Member and Associated Persons Associated Persons v. Member REPRESENTATION OF PA

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Silvia Radulescu Names of the Respondents Stanford Group Company UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. UBS International, Inc. Wallstreet Electronica, Inc. Pedro Penzini Cecilia Gonzalez Rafael Avila Carlos F. Otalvaro Carlos N. Otalvaro Case Number: 04-08573 Hearing Site: Boca Raton, Florida

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: lola S. Shroutv. Everen Securities, Inc. And Marshall Lewis Case Number: 99-3288 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Claimant, lola S. Shrout ("Shrout"), hereinafter referred to as "Claimant": Rodney K. Vincent, Esq., Vincent Law Offices, Lincoln, Nebraska. Respondent, Everen Securities, Inc. ("Everen"), hereinafter referred to as "Respondent": William D. Nelso