NATIONAL ASSOCIATION Cr SECURITIES DEALERS, INC. n the Matter of the Arbitration Setween eter J. Deutch. Claimant Shearson Lehman Srochers, Inc. Roy Buckingham David Bouidin Respondents CASE #92-02232 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. an July 7, L992 Claimant Peter J. Deutch, who appeared Pro Se, alleged that on June 24, 1987 he placed a good until cancel open order with

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-02231 AWARD In the Matter of the Arbitration Between David A. Clark & A. Dusty Clark Claimants vs. Dean Witter Reynolds, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 7, 1992, Claimant David A. Clark, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. failed to follow his request

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Constance Laney Case No. 99-03230 Names of Respondents J.J.B. Milliard, W.L. Lyons, Inc. George M. Johnson REPRESENTATION OF PARTIES For Constance Laney ("Laney"), hereinafter referred to as "Claimant": John P. Freeman, Esq., Columbia, South Carolina. For J.J.B. Billiard, W.L. Lyons, Inc. ("Billiard"): Ronald R. Davis, Esq., Womble Carlyle S

—_ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jacques-Andre Istel vs. NASD #92-2230 of Rcsodets Merrill Lynch Pierce Fenner & Smith, Inc. RJjyRJESENTATIQN For Claimant: Jacques Andre Istel, Felicity, CA For Respondents: Michael Van Dyke, Esq., Gray, Gary, Ames & Frye, San Diego, CA CASE INFORMATION Statement of Claim filed: July 7, 1992 Claimant's Submission Agreement signed: June 2

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CHATFIELD DEAN & CO., INC., a Colorado Corporation, CLAIMANT, V9, METRO HAULING, INC., a Virginia Corporation, and WILLIAM B. SLOAN, RESPONDENTS. NAMES OF COUNSEL Appearing for Claimant Chatfield Dean & Co., Inc.: Appearing for Respondents Metro Hauling, Inc. and William B. Sloan: CASE INFORMATION Date Claim Was Filed: Names of Arbitrators: Date Award Was Render

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClainjjnts Manny Gold and Sylvia Gold 92-02228 Name of Respondents Dean Witter Reynolds Inc. John Jensen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 7, 1992, Claimants Manny & Sylvia Gold, through their representative, Eric Bemeger, alleged that Respondents Dean Witter Rey

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Virginia M. Happel individually and as trustee of the Virginia M. Happel Trust Case No. 92-02227 Name of Respondent(s) PaineWebber, Inc. Dale L. Emerick REPRESENTATION Claimant, Virginia M. Happel ("Happel") was Pro Se. For Respondents, PaineWebber, Inc. ("PaineWebber") and Dale L. Emerick ("Eraerick"): Michael R. Al

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ PaineWebber, Inc. 92-02226 Name of Respondents) Timothy D. Trimmer REPRESENTATION For Claimant, PaineWebber Incorporated ("PaineWebber"): Michael R. Alford, Esq. of PaineWebber, Inc.. For Respondent, Timothy D. Trimmer ("Trimmer"): Rudy Edwards, Esq. of Edwards, Sharpe and Wickman. CASE INFORMATION State

NASD Arbitration No.92-02222 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DF.ALERS. DSTCL In the matter of the Arbitration Between Name of Claimant^ Dean R. Sander Name of Respondents David Alan Park David Duke Financial, Inc REPRESENTATION For Claimant: Paul N. Young, Securities Arbitration Group, Inc., Marina del Rey, California For Respondents: David A. Park, David Duke Financial, Inc., Los Angeles, California CASE INFORM

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gladys Hankla, Successor Executor of the Estate of Vivian Murphy, deceased, assignee of Norman Nelson, formerly Personal Representative of the Estate of Genevieve Soller and Vivian Murphy, both deceased. 92-02216 Name of Respondents Roger J. Lange Company, Inc., Roger J. Lange Jan F. Lange, Aegon USA Securities f/k/a Midam