N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Martin W. Gettig 92-02042 Name of Respondents) Shearson Lehman Brothers, Inc. Peyton D. McDonald REPRESENTATION For Claimant Martin W. Gettig: Amy Greer, Esq. of Eckert Seaman, Cherin & Mellot, Pittsburgh, PA. For Respondent Shearson Lehman Brothers, Inc.: Samuel Turvey, Esq., in-house counsel at Shearson Lehman Brot

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name pt' Claimants Charlotte Spikes (formerly Charlotte Eskridge), Individually, and as Trustee of the Eskndge Family Trust, and as Executrix ot the Jonathan Eskndge Estate: Valerie Rainwater (formerly VaJene Eskridge); Ashley Eskridge; and Mary Nell King (formerly Mary Nell Spikes) and 92-02040 Name of Respondents Shearson Lehman Bro

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert F. Niemann FBO Robert F. Niemann IRA 92-02038 Name of Respondent Charles Schwab & Company. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 18. 1992, Claimant Robert F. Niemann. who appeared Pro Se. alleged that Respondent Charles Schwab & Company, Inc. l

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Name of Claimants George and Paul C. Zfcak 92-02036 Name of Respondents Summit Investment Corp. Kevin P. Harris For Claimants: Mark Briol, Esq. and Greg Wilmes, Esq. of Briol & Wilmes, Minneapolis, Minnesota. For Respondents: Ann Exline Starr, Esq. of Summit Investment Corporation, Minneapolis, Minnesota. CASE INFORMATION Statement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between* Name, of Claimant: Maurice Nichols 92-02031 Name of Respondent Geoff London REPRESENTATION For Claimant at the hearing: Bruce E. Stephens, Esq., Attorney at Law, York, Nebraska. For Respondent at the hearing: John A. Warchol, Esq. of Warchol, Berndt, Kajek, Minneapolis, Minnesota. CASE INFORMATION Statement of Claim filed: June 17,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David R. Hickman and Yvonne J. Hickman 92-02030 Name of Respondents R.J. Steichen & Company William Healey REPRESENTATION For Claimants at the hearing: Gail E. Boliver, Esq. of Boliver Law Firm, Marshalltown, Iowa. For Respondents, R.J. Steichen & Co. and William Healey at the hearing: Philip T. Colton. Esq. of Maun &

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John J. Coppinger Case* VS. 92-02027 NameofResoQndents Sbearson Lehman Brothers, Inc. A. L. Williams Claimant, John J. Coppinger, appeared pro-se. For Respondents, Shearson Lehman Brothers, Inc. and A. L. Williams: John P. Bevilacqua, Esq., in-house counsel at Shearson Lehman Brothers, Inc. CASE INFORMATION Statement of Claim filed: J

NASD Arbitration No. 92-02023 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Joseph G. Frake Name of Respondent(s) Kennedy, Cabot & Co., Inc. Guy Keefer REPRESENTATION For Claimant: Carroll R. Melton, Arbitration Consultants, Woodland Hills, California For Respondent: George Kupper, Esq., Kennedy, Cabot & Co., Inc., Beverly Hills, California CASE INFORMATI

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dennis Joseph Tinker 92-02022 Name of Respondent M. Rimson & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 17, 1992, Claimant Dennis Joseph Tinker, who appeared Pro Se, alleged that he owned 25,000 Magnacard shares made up of two separate certificates; one f

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Thomas J. Koch Case No. 99-03203 Names of Respondents Olde Discount Corporation George Sadowski REPRESENTATION OF PARTIES For Thomas J. Koch ("Koch"), hereinafter referred to as "Claimant": Laurie Bolch, Esq., Boca Raton, Florida. For Olde Discount Corporation ("Olde") and George Sadowski ("Sadowski"), hereinafter collectively referred to as