N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dorothy J. Dahl 92-02334 Names of Respondents CENPAC Securities Corp. and Carl J. Gottlieb REPRESENTATION Claimant, Dorothy J. Dahl appeared pro se. Respondent, Carl J. Gottlieb appeared pro se. Respondent, CENPAC Securities Corp. did not appear at hearing. CASE INFORMATION The Statement of Claim was filed with the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sidney W. Barbanel Sidney W. Barbanel, IRA Account 92-02331 Name of Respondents Napex Financial Corp. FSC Securities Corporation REPRESENTATION For Claimant: Sidney W. Barbanel, Jordan W. Kapchan, Esq. and Geraldine Barbanel, Esq., sole practitioners. For Respondent: Clifford J. Hunt, Esq. of Riden, Earle & Keifner, P.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * Name of Claimant Sidney Kaufman Case No. 92-02329 Name of Respondent PaineWebber, Inc. For Claimant, Sidney Kaufman ("Kaufman"): pja 55- For Respondent, PaineWebber, Inc. ("PW"): Steven M. Greenbaum, Esq. of PaineWebber, Inc. CASE INFORMATION Statement of Claim filed: July 14, 1992. Claimant's Submission Agreement signed: August 26, 1992.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Dennis A. Rash vs. 92-02327 Name of Respondents) Chatfield Dean & Co. Investment Bankers CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 14, 1992, Claimant Dennis A. Rash, who appeared Pro Se, alleged that on April 14, 1992 Respondent Chatfield Dean & Co. Investment

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patrick J. Schachle, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Michael M. Miremadi, Respondents Case Number: 05-04420 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Douglas A. Ames, Esq. Law Offices of Douglas A. Ames Huntington Beach, California

X.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mame of Morton Morrison Leona Morrison No. 92-02325 Name of Respondents Dean Witter Reynolds. Inc. Marie Richmond REPRESENTATION QF PARITIES Claimants appeared {us 5£- For Respondents: Linda Poole, Esq., and Curt Mueller, Esq., of Dean Witter, Reynolds, Inc., San Francisco, California. CASE INFORMATION Statement of Claim filed o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mauer of the Arbitration Between Name of Claipianjs James V. Leinweber Jean Leinweber vs. NASD #92-02321 Name of Regpopd,entq Piper, Jaffray & Hopwood, Inc. Jaime Liable For Claimants: Robert N. Dompier, Esq. of Schimanski, Leeds & Co/and of Spokane, Washington . For Respondents: Frederick D. Huebner, Esq. of Helsdl, Fetterman, Martin, Todd &. Hokanson of Seattle, Washi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Seymour H. Bernstein 92-02318 Name of Respondent Prudential Securities Inc REPRESENTATION For Claimant: Seymour Bernstein, appearing Pro-Se. For Respondent: Gerard J. Kowaiski. Esq. of Prudential Securities Inc. CASE INFORMATION Statement of Claim filed: July 13. 1992. Claimant's Submission Agreement signed on: June 19.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Texas Commerce Financial Services, Inc. 92-02315 Name of Respondent/Counter-Claimant Arthur W. Hall REPRESENTATION For Claimant/Counter-Respondent: Texas Commerce Financial Services, Inc. was represented by Terry Knell of Texas Commerce Financial Services, Inc., Houston, Texas. For Respondent/Counter-Claimant

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03241 Maurice Murad and Curtis Bargesser, claimants vs. Josephthal & Co., Inc. and John P. Lamoureux, respondents. ATTORNEYS: Claimants Maurice Murad ("Murad") and Curtis Bargesser ("Bargesser"), (collectively, "Claimants"), appeared Pro Se., Fresno, California. For Respondents Josephthal & Co., Inc. ("Josephthal") and John P. Lamoureux ("Lamoureux") (coll