N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITTF5 DEALERS, TNC In the matter of the Arbitration Between Mame of Clafapant PAINEWEBBER. INC. NASD Arbitration No. 92-04145 v. Name nf Respondent JAMES R. FUCKINGER For Claimant: Catherine Pratt, Esq. - Painewebber, Ino, Los Angeles, California For Respondent: Richard S. Bayer, Esq. - San Diego, California TNT-nRM ATTQN Statement of Claim ffled: " December 8, 1992 Claimant's Answer to Res

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bernice Eura Pitts Jr. Rachel Anne Pitts 92^04140 Name of Respondents PaineWebber, Inc. Frank Bergthold CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 8, 1992, Claimants Bernice E. Pitts and Rachel Anne Pitts, who appeared Pro Se, alleged that Respondent F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Scott W. & Nadine Wone NASD Arbitration No.92-04120 Name of Respondents) National Securities Corporation REPRESENTATION For Claimants: Scott W. Wong, Portland, Oregon For Respondent: Mark Roth, Esq., National Securities Corporation, Seattle, Washington CASE INFORMATION Statement of Claim filed: December 8, 1992

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) WILLIAM M. MCMILLAN NASD Arbitration No. 92-3987 Name of Respondent(s) PRUDENTIAL SECURITIES, INC. REPRESENTATION For Claimant: Joseph Devereux, Esq., Devereux, Murphy, Striler & Brickey, L.L.C., St. Louis, Missouri For Respondent: Gabriel Loubier, Esq., Associate Vice President, Assistant General Counsel, Prudential Secu

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS IN THE MATTER OF THE ARBITRATION BETWEEN Name of Claimant Patricia Spencer vs. 92-03777 Name of Respondent U.S. Clearing Corporation REPRESENTATION For Claimant: Patricia Spencer appearing pro se. For Respondent: Thu^s J. McCabe. Esq. CASE INFORMATION Statement of Claim filed: November 5. 1992 Statement of Reply filed on January 13. 1993 Claimant's Submission Agreement signed on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Dana L. Mago NASD Arbitration No: 92-03726 °f Respondents Shearson Lehman Button, Inc. Joseph Ulloa REPRESENTATION For Claimant: Stanley R. Raskin, Esq. - Ward, Gaunt & Raskin - Torrance, California For Respondents: John R. Lottus, tsq. - KCCMU f oung & Logan - Long Beach, California CASE INFORMATION Statement

N.A.S.D. AWARD MATTGNAL ASSOCIATION QF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Harold Rostow Name nf NASD Arbitration No. 92-03691 Prudential Sacurit-iea -Incorporated William Creedon ..„,.•",-, RgPBHSgMTATIQN For Claimant: Harold Rostow, Esq., Encino, California and I. Reza Gharakhani, Esq., Law Offices of Andrew K. Kim, Los Angeles, California . ... . . For Respondent^;; Prudenf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) William E. Frantz 92-03672 Name of Resoondentf s~> A.G. Edwards & Sons, Inc. Pierce Hammond For Claimant: Daniel I. Maclntyre, Esq. of Wilson, Strickland & Benson, P.C. For Respondents: Clay M. Grumke and Stephen G, Sneeringer, Esqs. of A.G. Edwards & Sans, Inc. CASE INFORMATION Statement of Claim filed: October 29,1

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Messenger and Lois Messenger, (Claimants) vs. Biltmore Securities, Inc., Rand Alan Heckler, David Ledoux, and FAS Wealth Management Service, (Respondents) Case Number: 99-02295 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, James Messenger ("J. Messenger") and Lois Messenger ("L. Messenger"), hereinafter collectively referred to as "Claimants": Paul T. V

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAL! In the Matter of the Arbitration Between Name of Claimants Orville M. and Shirley G. Tucker Name of Respondents Olde Discount Corporation Jeffrey R. Donaldson tff*'?^^,? 'j f ^' NUV £'- FU AR 92-03634 NOV 22 1993 FL ARBITRATION REPRESENTATION •— • For Claimants. Orville M. and Shirley G. Tucker ("the Tuckers"): pro se. For Respondent. Olde Discoun