PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK 392-01536 AMAHD In the Matter of the Arbitration Between Dennis A. Meier Claimant vs. Tim Peck Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 5, 1992, Claimant Dennis A. Meier, who appeared Pro Se, alleged that Respondent Tim Peck, formerly with William Barton Financial, Inc., solicited him to purchase shares of

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Keitha K. Sheviin 92-01534 Name of Respondent Curtis J. Connolly CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 5. 1992, Claimant Keitha K. Sheviin, who appeared Pro Se. alleged that Respondent Curtis J. Connolly of the firm First Affiliated Securities, now bankrupt, mi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Huntington Group, P.C. Savings PI. et al 92-01533 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Robert Appel David Stulberg REPRESENTATION For Claimants, Huntington Group, P.C. Savings Plan et. al: Jonathan B. Frank, Esq. of Mason, Steinhardt, Jacobs & Perlman. For Respondents, Merrill Lynch, Robert Appel

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03182 Steven H. Glazer, claimant vs. First Union Brokerage Services, Inc., respondent. ATTORNEYS: Claimant Steven H. Glazer ("Claimant"), appeared Pro Se., Boynton Beach, FL. For Respondent First Union Brokerage Services, Inc., ("Respondent"), Barbara H. Wright, Esq. First Union Corporation-Legal Division, Charlotte, NC. DATE FILED: July 12, 1999 CASE SUMM

N.A.S.D. AWARD NKTICKAL ASSOdflTICN OP *ft a !*. 1 Pl'*-'H"£ OBKC£RS In tha Matter of the Aebitzaticn Between Hay & Am Syf art of NftSD Arbitration Nb.92-01531 Schneider Securities Inc. Varouj Mazk Markarian For Claimants: Patrick C. Clary, Bag., La* Vegaa, Nevada For Raspoaiant Sctoaider S«curitUat William J. Canpbttll, Eaq., Badlay Oasopb^ll Cazn0/ & HBdMD, Hi ilrTati. Colorado For RMpondaat Martariao: GSilbert L. IJrfl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiiqantf s) Wi'Iiam P. Bruno 92-01529 Name of Respondent^ Bear Stearns & Company RJEHMSSE-NTATION For Claimant: The Claimant appeared pro se. For Respondent: Christopher P. Litterio of the law Finn of Shapiro, Israel & Weiner, P.C. CASE INFORMATION Statement of Claim filed: May 1, 1992. Claimant's Submission Agreement sign

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name, of Claimant Charmaine E. Larsen 92-01526 Name pf Respondents Investment Timing and Research, Inc. Peter C. Bucchieri For Claimant: Ronald L. Cheney, Esq. For Respondents: Grover S. Parnell, Jr., Esq. of the law firm of Davis, Malm & D'Agostine. CASE INFORMATION Statement of Claim filed: November 5, 1992. Claimant's Subm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Donald P. Steve and Marjorie A. Steve 92-01525 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Joseph N. LaHood, Jr For Claimant: Anthony V. Trogan. Jr., Esq. of the law firm of Weisman, Trogan, Young and Schloss, P.C. For Respondents: V. James Mann, Esq. of Merrill Lynch Pierce Fenner & Smith. CASE INFORMATION

N.A.S.D. AW Aid) NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kimberley W. Thornton 92-01524 Name of Respondents Merrill Lynch. Pierce, Fenner & Smith, Inc.; Randall J. Battiste REPRESENTATION For Claimant: Kimberly W. Thornton was represented by Stephen C. Whicker, Esq. of Atlanta, Georgia. For Respondents: Merrill Lynch, Pierce, Fenner & Smith, Inc. was represented by V. James

NATIONAL ASSOCIATION OF SECURITIES DEALERS , INC. In the Hatter of the Arbitration Between Margaret H. Hess Claimant vs. PaineWebber, Inc. Richard E. Linder Respondents CASE #92-01521 AWARD In a claim filed with the National Association of Securities DealerB, Inc. on May 4, 1992, -Claimant Margaret H. Hess by and through her counsel Frank Rogers Donahue, Jr., Esq. of Donahue, Battle and Donahue, Philadelphia, PA., alleged that on Sep