PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John C. Wilson Revocable Living Trust 92-02305 Name of Respondent Waterhouse Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 13, 1992. Claimant John C. Wilson, through his counsel, Philip Armknecht, Esq., of Reese & Armknecht, P.C., Red Oak, Iowa, alleg

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between "~~ Name of Claimant Anthonv Granelli 92-02301 Name of Respondent^ J.W. Gam and Associates. Inc.: Kun Novey; Robyn Reagan REPRES For Claimant: .Anthony Granelli was represented by Lawrence H. Packard in Esa of Lake Jackson, Texas. ' ^' ^^ For Respondents: J. W. Gant and Associates, Inc. did not appear at hearing. Robyn Reagan was re

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Calvin R. Swinson 92-02300 Name of Respondents Shearson Lehman Brothers. Inc. Peter Middlekauf Linda Drummond CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 13. 1992. Claimant Calvin R. Swinson. who appeared Pro Se. alleged that Respondent Shearson Lehman Broth

NASD Arbitration No. 92-02298 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Urantia Corp. Name of Respondent(s) Gilford Securities, Inc. REPRESENTATION For Claimant: Paul Monka, Urantia Corp., Beverly Hills, California For Respondent: Christopher J. Benz, Gilford Securities, Inc., Los Angeles, California CAgE INFORMATION Statement of Claim filed: July 10, 19

N.A.S.D. AiVARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Rocky Romero and 92-02293 Name of Respondents Rauscner Pierce Refsnes. Inc. and John R. Johnston REPRESENTATION OF PARTIES Claimant Rocky Romero was represented by Kelly Utsinger, Esq., Gerald Bybee. Esq. and Gavin Gadberry, Esq. of Underwood, Wilson, Berry, Stein & Johnson. P.C., Amarillo, Texas. Respondent Rauscher

NASD Arbitration No.92-02290 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) William M. & Sherry D. Moore Name of Respondents) Charles Schwab & Co., Inc. Scott E. Grooms Stephen Roche Karen Aguilar REPRESENTATION For Claimants: William M. Moore, San Clemente, California For Respondents: Stephen Roche, Charles Schwab & Co., Inc, Los Angeles, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William £. Biegenwald N.A.S.D. Arbitration No. 92-02288 Name of Respondents PaineWebber, Inc. Rotan Mosie Inc. Evelyn Henne REPRESENTATION For Claimant: William E. Biegenwald, Honolulu, Hawaii. For Respondent: Scott M. Ratchick, Esq., PaineWebber, Inc., Los Angeles, California. CASE INFORMATION Statement of

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS IntheMaotroftheAibitnclonB«tw«aa Sakem A Ftozit Hnmtyua 92-08215 A.O. Bdwudi * Son*, Inc. CASE SUMMARY In t claim fib* wtth tte National Auodatfaa of Secoddei Duton, lac. on July 10, 1998. Claftnanti SatotB * Ftuzit Humayua, who ipfMtmd Pro S«, iltoftrf that Keipondar A.O. Inc. firited to wxtfy them on a Hmely buii it|inliii|tfi»aceel6ntionaf 1 ( 700 Intel Wttxaott whic

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NajneofClainiants Andrew and Yvette Block 92-02282 e of FPC, Inc. Nefl D. Schwartz REPRESENTATION For Claimants, Andrew and Yvette Block ("The Blocks"): Howard J. Nussbaum, Esq. of Weinstein, Zimmerman, and Nussbaum, P. A., . For Respondents, F.P.C. Inc. ("F.P.C.") and Neil D. Schwartz ("Schwartz"): Robert A. Kasky, Esq. of Robert Kasky

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steven E. Leatherman, Brian Williams, et. al. (Claimants) vs. Walter Imhoff, Gary J. Wilson, Richard T. Huebner et. al. (Respondents). Case Number: 99-03239 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimants, Steven E. Leatherman, Jeffrey Wall, Pamela Higgins, Pamela McCuskey ("Leatherman Claimants"): Margaret E. Pepper, Esq. and Gary J. Ceriani, Esq.: Davi