N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant! si Johnnie R. Flowers 92-00970 Name of Respondent s) Prudential Securities Inc For Claimant Johnnie R. Flowers. Jr.: Montgomery Knight. Esq.. of Knight Dudley Dezern & Clarke of Norfolk. Virginia. For Respondent Prudential Securities. Inc.: Marc Dobin. Esq. of Casey Cilkin Lubitz Martens McBane and O'Connell. of West Palm Beac

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert W. Francis NASD Arbitration No.92-00963 Name of Respondents Smith Barney, Harris Uphiam & Co., Inc. James R. Peterson REPRESENTATION For Claimant: Carroll R. Melton, Marina del Rey, California. For Respondent Smith Barney: Timothy N. Will, Esq., Keesal Young and Logan, Long Beach, California. For Respondent P

N.A.S.D. AWARD NAHCNAL ASScdAncN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nancy R. Dinsmore NASD Arbitration No. 92-00961 PaineHebber, Incorporated Claimant: Robert: T. H?lT?™j? r 'f Investors Arbitration Services, Inc., Woodland Hills, ffrlif p>rr v 1 * For Respondent; Scott M. Ratchick, Esq. - PaineWebber, Inc., Los Angeles, Ca. Statement of f^a-i™ filed: March 18, 1992 Cla

N.A.S.D. SWARD ASflOCTfli'lCN OF SECURITIES DEAIJERS la the Matter of the Arbitration Between Christine H. Barlett vs. NASD #92-00960 Arthur D. Gisfcel, me. For dainBixt: Charles D. Chalmers, Esq., of SIcj erven, Msrrill, MacFherson, Franklin & Frlel, gyn Francisoo, Caldlfoziiia. For Respondent: Phillip McLeod, Esq., of Keesal, Young & Logan, San Francisoo r California. Statement of Hnlm filed: MarcH 18, 1992 Claimant's gi-»Hm4ggjfTn

N.A.S.D. AWARD NATIONAL ASSOCIATION OP Htf.VU I'*' * V-S In the Matter of the Arbitration Between Of Ben Nbvom NASD No. 92-00354 Titan Value Equities Group, Inc. Richard L. Robinson For Claimant: Ricki C. Ring, Esq. - tfls Angeles For Reapcodent: Craig R. Bodonsn, Esq.- Jcnes, Rail, Siapaon & Abbott - Angeles, CBllfc >rrt ^ ii1 Stataient of Halm filed: Much 18, 1392 Claimant's {gnV«H - q ffim Aoxeeoient signiffd o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rudolph & Vivian Kotteraann 92-00950 Name of Respondents Dean Witter Reynolds Inc. Jeffrey A. Hayden For Claimant: Steven J. Card. Esq. of the law firm of Page & Bacek. For Respondent: George Sullivan, Esq. CASE INFORMATION Statement of Claim tiled: March 16, 1992. Claimants' Submission Agreement signed on: February 25,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che Matter of the Arbitration Between Ann E. Pelc Claimant vs. Shearson Lehman Brothers, Inc. A.G. Edwards & Sons, Inc. Respondents CASE #92-00948 AMARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 18, 1992, Claimant Anne E. Pelc, through her counsel Norman R. Freeman, Esq. of Tucson, Arizona, alleged that Respondent Shearson L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cliimantm Alger B. and Isabelle L. Scon Alger B. & IsabeUe L. Scon Trust Case No. 92-00940 Name of Respondent s) Sheen Financial Resources, Inc. Brian J. Sheen First Preservation Capital, Inc. REPRESENTATION For Claimants, Alger B. and IsabeUe L. Scott ("the Scotts"): Robert H. Rex, Esq. of Dickenson. Murdoch. Rex and Sloan.

N.A.S.D. AWARp NATIONAL ASSOCIATION OF SECURITIES DEALERS. ^TNC. In the matter of the Arbitration Between Name of Claimants) Allen E. Castle Barbara A. Castle NASD Arbitration No. 92-00936 Name of Respondent (s) Sutro & Co., Incorporated Bart J. Quigley Jeffery M. Daft For Claimants: Mitchells. Oatwald, Esq., Seaman, Seaman & Ostwald, Sacramento, California For Respondents Sutro & Co., Incorporated and Bart J. Quigley: Gil Se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claipiants Robert J. Deeds Margaret J. Deeds NASD Arbitration No. 92-00931 Name of Respondents Prudential Securities, Inc. Robert Paul REPRESENTATION For Claimants: Robert J. Deeds, Las Vegas, Nevada. For Respondents: J. Douglas Driggs, Esq., Jolley, Urga, Wirth & Woodbury, Las Vegas, Nevada. CASE INFORMATION Stateme