N.A.S.D. t ASSOCXA^TCtT OP SHUURi'i'i HM DEALERS In the Matter of the Arbitration Between Mama of Hide 91-03103 Merrill Lynch, Pierce Fenner & Smith, IDC. , Bide FOOT ft^Tnamtet Gregory G. Maler, Esq. of rc-i< *it»TrfrK i wi & Meier, 'Rilsa, Oklahoma. For Respondent Merrill Lynch, Piarca Fecnar & .Smith, Inc.: Dennis M. Pape, Eaq. of MarrlU Lynch, Pierce Fenner & flitlt-h. Inc., Hew Toodc, Hew YotJc. For Respondent Ride Brennes: Ttodd

Arbitration N.A.S.D. AWARD National Association of Securities Dealers, Inc. NATIONAL ASSOCIATION OP SHUJRITIES DEALERS NASD financial Center 33 Whitehall Street in the Matter of tha Arbitration Between Name of Claimants George & Irene Surblan Case # vs. 91-03096 Name of Respondents Ernst & Company Cenpac Securities, Inc. For Claimants, George & Irene Surabian ("Claimants") , Louis N. Massery, Esq. from the law firm of Cooley Mani

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arlo H. Judd 91-03031 Names of Respondents Texakoma Oil & Gas Corporation, Texakoma Financial, Inc., Dean R. Kennedy, Richard J. Kennedy and Scott Kennedy REPRESENTATION Claimant, Arlo H. Judd was represented by G. David Westfall, Esq. of Dallas, Texas. Respondents, Texakoma Oil & Gas Corporation, Texakoma Financial, Inc., Dean

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Mary G. Johnson, -:_. Claimant vs. Case No. 99-02947 Ryan, Lee & Co., Inc. Preston Mulford Wayne M. Lee Patrick C. Ryan, Respondents Hearing Location: Washington, D.C. REPRESENTATION OF PARTIES Claimant Mary G. Johnson ("Claimant") was represented by Mark J. Krudys, Esq., Mark J. Krudys, PLC, Richmond, Virginia. Respondents Ryan, Lee & Co., Inc.(

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between r_ Richard Blackman & Co. Inc. Name of 3PF Holding Company George W. Stagg, Jr. Margaret Lynch 91-02992 * PUBLIC REPRESENTATION For Claimant Richard Blackman & Co. Inc.: Joseph McCaffrey of Richard Blackznan & Co., Inc. For Respondents GPF Holding Company, George W. Stagg, Jr. and Margaret Lynch: Respondents did not appear.

N.A.S.O. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between" Name of Claimant (s) Lyons F. Barker Name of Respondent(s) Shearson T^haan Button, Inc. National Aaaodation of SecurWea DeeJere, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 ' Case No. 91-02991 For Claimant, Lyons F. Barker ("Barker") : Louis H. Lang, Esq. of Calliacn f

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Grant Carmichael TTEE, et al. 91-02987 Name of Respondents PaineWebber, Inc. Shearson Lehman Brothers, Inc. SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 25, 1992, Claimant Grant Carmichael TTEE, Merced Pathology Medical Group Pension/Profit SH Plan U/A/D 9/30/79 FBO

Arbitration JT.A.S.D. AWRRD MATICMAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Peter C. & Josephine G. Piraneo Lisa Anne Piraneo '"jangft" 1 ' 91-02815 National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX 1212) 858-4389 DeRand Invesfcnant Corporation R. Douglas Feet Dan R. Kiely United Gibralter Corp. Off Case Quetz

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. PUBLIC CASE #91-02373 AWARD In che Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. J. Alex Shaw Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August l, 1991, Claimant Dean Witter Reynolds, Inc., through their in-house counsel Dominick J. Dorata, Esq., alleged that Respondent J. Alex Shaw stopped payme

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #91-02232. AWARD in the Matter of the Arbitration Between Fred J. and Christina Goehner Claimants va. A.G. Edwards & Sons, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 22, 1991, Claimants, Fred J. and Christina Goehner, by and through Norman E. Goehner, alleged that they, informed Respondent A.G. Edwards & Sons, In