PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00675 AWARD In che Matter of the Arbitration Between Karl & Elaine Katz Claimants vs. Shearson Lehman Brothers, Inc. James G. Carroll Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 25, 1992, Claimants Karl & Elaine Katz, who appeared Pro Se, alleged that in January 1990 they contacted their Financi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard L.H. Keeling; Betty J. Keeling; Estate of Connne H. Lewis 92-00672 Name of Respondents Merrill Lynch. Pierce, Fenner & Smith. Inc. Richard F. Lord REPRESENTATION For Claimants: Richard L.H. Keeling, Betty J. Keeling and the Estate of Connne H. Lewis were represented by G. Wade Caldwell. Esq. of San Antonio. Tex

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant!(si. Ruth V. Rosenauer and Mark D. Lannin Ruth V. Rosenauer, as Custodian for: Mitchell R. Lannin, Teresa A. Scott and Robert N. Scott NASD Arbitration No. 92-00670 Name of Respondent(s) David L. Rush Daniel J. DeGowin Shearson Lehman Brothers, Inc. Oppenheimer & Co., Inc. REPRESENTATION For Claimants

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dana L. Fuller, Jr., and Dana L. Fuller Manufacturing Co. (Claimants) vs. Frank M. Orrell, Orrell & Co., Inc., Matthew Neal, and Does 1 through 100, inclusive (Respondents). Case Number: 99-03068 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES For Claimants: Thomas A. Trapani, Esq. Rankin, Sproat, Mires & Trapani Oakland, California For Respondents F

N.A.S.D. ANKRD OP HHlflmJ.'l'J IflLj In the Matter of the Arbitration Between of dadoents J. Shanklin & Julia, C. - < a wiVH' n> JIHRQS; Itnoas J. fih»nirT< Ti f custodian foar Giit tO Thcmas J. ghj»nmTt f custodian £csr IdfltlO UQlf Gift to MinOTS Act; Idaho rfrii^ Gift tO MiOOTS Act; under the Idaho TThlf Gift to Minors Act; IRA. fbo TbOO8S J. fihanlpl 4 n pT.THf' aq mta^-frfH an » Julia C. vs. 92-0066

PUBLIC RATIONAL OF SECURITIES^ DEALERS ^ In che matter of the Arbitration Between Raymond M. warren, Jr. Claimant vs. Josephthal Lyon & Ross, Inc. Jerry Kenvpa Respondents CASE #92-00659 AWARD CASp SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 24, 1992, Claimant Raymond M. Warren, Jr. who appeared Pro S», alleged that Respondents Josephthal Lyon & Ross, Inc. and Jerry Kempa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In he Matter of the Arbitration Between Name of Claimants) Edmond R. Davis, Trustee of the Alyson Long Trust and the Jeffrey John Long Trust; Robert J. Long, Trustee of the Robert John Long Trust NASD Arbitration No.92-00651 Name, of Respondents) vidder, Peabody & Co., Inc. F. Samuel Coleman REPRESENTATION For Claimants: H Thomas Fehn, Esq., Fields, Fehn & Sherwin, Los

N.A.S.D. AWARD NKTXCNAL ASSOdAXICM OF SHJURlTUaS DEALERS In the Matter of the Arfcitzati.cn. Between Case * 92-00647 John R. Devlin Claimant, Jack F. Bentley, appeared pro s«. For Respondents, John R. Devlin, Michael L. Michael, Esq. of Tucker Anthony Incorporated. Statement of fia-i™ was filed on February 20, 1992. Claimant's Submission Agreement vas signed on February 18, 1392. Statement of Anmur vas filed by Respondent on April 7, 1992.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01621 Joseph Weinstein Name of the Respondent Hearing Site: Boca Raton, Florida A.G. Edward & Sons, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Joseph Weinstein, hereinafter referred to as "Claimant", appeared pro se. For A.G. Edward & Sons, Inc., hereinafter referred to as "Respondent": Nancy Anderson T

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 05-02622 Anthony T. and Jean Pelosi Anthony T. Pelosi on behalf of his IRA Jean Pelosi on behalf of her IRA Names of Respondents Hearing Site: Tampa, Florida A.G. Edwards & Sons, Inc. Brian A. Christensen Kashner Davidson Securities Corporation Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES