N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Norman s. Handler and 92-00925 Name of Respondent Sanford Greenberg REPRESENTATION OP PARTIES Claimant was represented by Michael W. Lillie, Esq., Denver, Colorado. Respondent was represented by Stephen E. Kapnick, Esq. and Neil Ayervais, Esq. of Lohf, Shaiman & Ross, P.C., Denver, Colorado. CA8B INFORMATION T

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert F. Stout, and Robert F. and Katherine A. Stout JTWROS, Claimants v. Foster Jeffries Securities, LLC, Charles John Lemieux, Steven L. Karno, Michael Scott Weiner, Thomas Michael Allegra, Kevin Charles Held, Paul J. Greco, George M. Greco, Jr. and George M. Greco, Sr., Respondents Case No: 99-03115 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES Ro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anita Velez Mitchell Case #: 92-00909 Name of Respondent^) Shearson Lehman Brothers. Inc. Charles Sperrazza REPRESENTATION For Claimant. Anita Velez Mitchell ("Claimant"), Richard Realmuto, Esq. from the law firm of Realmuto & D'Alessio. For Respondents. Shearson Lehman Brothers. Inc.. ("Shearson") and Charles Sperr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between o Al & Helen Barker vs. NASD #92-00908 Name of Respondents Bear Steams & Company, Inc. Allen R. Asker For Claimants: Daniel K. Donahue, Esq., of Brack & Perry, Newport Beach, California. For Respondent Bear Stearns: Terry Ross, Esq., of Keesal, Young & Logan, Long Beach, California. For Respondent Allen Asker: Allen Asker CASE INFORMATI

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara Walters 92-00906 Name of Respondent D. Francis Dasher For Claimant: A. Keith Logue, Esq. of Weinstein, Rosenthal, Tobin & Caldwell. For Respondent, D. Francis Dasher: Daniel I. Maclntyre, Esq. of Wilson, Strickland & Benson, P.C. Respondent, Financial Advisors, Inc. is not a member of the NASD and did not voluntarily

N.A.S.D. AWARD NATIONAL ASSOCIATION GF mas m !•['"< « DEALERS In the Matter of the Arbitration pi ID] ip James and Glenda Zarin 92-00899 F.N. Wolf & Co., Inc. John Shustar Claimants Jones and Glenda Zarin ("daiaanta") Mara rnprneented by Erie P. Schell of tha law firm of David L. Duff, P.C. Respondents P.M. Wolf & Co., Inc. and John Shuster ("Respondents") by TnmBH C. Crosby, Esq. Statement of n«< » filed: March 16, 1992. Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimants Donald R. and Yvonne Gillies and ' 92-00897 Name of Respondents First Choice Securities Corp.. Joseph Torres. Michael K. Howard, and George Cooper OF PARTIES Claimants Donald R. and Yvonne Gillies were represented by Allen Landerman, Esq. of Landerman and Jacobs, P.C., Dallas. Texas. Respondents First Choice Secu

N.A.S.D. AWMZD NKEECNftL ASSOCXATICN OF SBCORITIES CEKZfiRS In the Matter of the Aifcitxatim Alan vs. 92-00891 Name of Respondent(a) Gooan Camodities and Securities, IDC. Xxa daimnts Alan Stataaeot of Halm filed: Matrch 13, 1592 Claimant's -QtiHM< »•< r»» AgzeonBQt signed ens mfc< "»*>» 9, 1992 Statement of Answer filed by Reepoodentat Apcll 13, 1392 bub wece duly served subject to Natlcoal Aseociatlon of Securitiee Dealers, me. QOSD)

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS [n the Matter of the Arbitration Between f Claimant Anne B. Dressier Case No. 92-00888 Name of Respondent Dean Witter Reynolds, Inc. For Claimant, Anne Dressier ("Dressier"): James Keeney, Esq. of Nelson Hesse Cyril Smith Widman Herb Causey & Dooley. For Respondent, Dean Winer Reynolds, Inc., ("Dean Winer") Melinda Herbst, Esq. of Dean Witter Reynolds, Inc. CASE INFORMATION St

N.A.S.D. AWARD NATIONAL ASSOCLATICN CP SUJUKITiKS DEALERS In the Matter of the Arbitration Between ) of Elizabeth Botchis ) ) Case No. 92-00887 Name of Respondent(s) ) ) Castle Securities Corp. ) Douglas Sbebroe } V.P. Securities, Inc. ) Nicholas Perrara ) dadaent, Elizabeth Botchia ("Botchis") pro se. Respondent, Castle Securities, Corp. ("Castle") Charles K. O'Rourke, Esq., Sole Practitioner. Respondent, Douglas Shebxoe (•S