N.A.S D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between 0119fid Name of Claimant! s) Thomas and Mary Louise Maloney 92-02056 Name of Respondent(s) PaineWebber. Inc. Paul R. Meese Thomas P. Kelly REPRESENTATION For Claimant Thomas and Mary Louise Maloney: Robert V. Campedel, Esq. of Doepken Koevican Weiss & Madven. For Respondents PaineWebber, Inc. and Paul Meese: robert Sommer, Esq. of K

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants ,^- Press-Tec, Inc. lack E. Aisted 92-02055 Name of Respondents Merrill Lynch. Pierce Fenner & Smith. Inc. Conrad W. Randeil REPRESENTATION For Claimants at the hearing: David W. Dunn, Esq. of Davis Hockenberg Wine Brown Koehn. Des Moines, Iowa. For Respondents at the hearing: Michael E. Obey, Esq. of Merrill Lynch Pie

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Name of Claimant David Baerwaide and 92-02054 Name of Respondent PaineWebber, Inc. REPRESENTATTON OF PARTIES David Baerwaide ("Claimant") was represented by Bradley K. Glazier, Esq. of Buchanan & Bos, Grand Rapids, MI. PaineWebber, Inc. ("Respondent") was represented by Jennifer A. Connors, Attorney at Law. of PaineWebber, Inc., Weebawken

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Wheat First Securities. Inc. 92-02053 Name of Respondent Elias Bsharah REPRESENTATION For Claimant Wheat First Securities, Inc. ("Claimant"): Martin J. Glasser, Esq. of the law firm of Lewis, Friedberg, Glasser, Casey & Rollins. For Respondent Elias Bsharah ("Respondent"): Arthur T. Ciccarello, Esq. of me law firm of Ciccar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Addison Securities, Inc. Bruce Zucker John Stein and 92-02051 Name of Respondent Seymour Bloom OF PARTIES Addison Securities, Inc., Bruce Zucker, and John Stein ("Claimants") were represented by Will S. Montgomery, Esq. of Jenkins & Gilchrist, Dallas, Texas. Seymour Bloom ("Respondent") was represented by Gerald P

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between James D. Mitchell Claimant CASE *92-020» AWARD vs. Dean Witter Reynolds. Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on June 19. 1992. Claimant James D. Mitchell who appeared Pro Se, alleged that on February 12, 1986 be purchased shares of Dean Witter U.S. Governme

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In cr.e Matcer of che Arbitration Between flame of Claimant Keith A. Libbey 92-02048 NamecifRegDondent Shearson Lehman Hutton. Inc. RSgRKSeKTATIOM For Claimant at che hearing: Pro 3e. For Respondent at the hearing: J. David Jackson, Esq. of Dorsey & Whitney,. Minneapolis, Minnesota. CASE INFORMATION Statement of Claim filed by Claimant: June 18, 1992. Claimant's Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Calvin D. Shoemaker and Marcelle Shoemaker JTWROS NASD Arbitration No. 92-02044 Name of Respondents) Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimants: Calvin D. Shoemaker, Los Angeles, California For Respondent: Nicholas R. Piccininni, Esq., Merrill Lynch, Pierce, Fenner & Smith, Lac., New Yor

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimants, Lawence A Wade & L. Wade Enterprises corp. Retirement Plan and Trust vs. Respondent, Charles Schwab & Company Case Number: 99-03205 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, Lawence A Wade & L. Wade Enterprises Corp. Retirement Plan hereinafter referred to as "Claimants" were represented by William Shepard Esq., William S. Shepard & Assoc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Larry A. Richardson; Joan Richardson; JoIarLtd. 92-02043 Name of Respondent J.W. Gant and Associates, Inc. For Claimants: Larry A. Richardson, Joan Richardson and Jolar Ltd. were represented by Anne Marie Finch, Esq. of Thompson & Knight, P.C., located in Houston, Texas. For Respondent: J.W. Gant and Associates, Inc. did not a