N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Linda C. Zemel Case# vs. 92-02946 Name of Respondents PaineWebber, Inc. Steven Ewanowski REPRESENTATION Claimant, Linda C. Zemel, appeared without counsel. For Respondents, PaineWebber, Inc. ("PaineWebber") and Steven Ewanowski "(Ewanowski"), Edward P. Degenhardt, in-house counsel at PaineWebber. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECOUTIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dave and Nellie Zack 92-02923 Name of Respondents Scottsdale Securities, Inc.; Rodger Riney For Claimants: Dave Zack and Nellie Zack appeared pro se. For Respondents: Scottsdale Securities, Inc. and Rodger O. Riney were represented by Rodger O. Riney, Scottsdale Securities Inc. CASE INFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant INDUSTRY Dunhili Equities. Inc. Case #: 92-02922 Name of Respondent Sandy MasselH. Jr. REPRESENTATION For Claimant Dunhili Equities, Inc.: Evan L. Gordon. Esq. The Respondent did not appear. CASE INFORMATION Statement of Claim filed: August 28, 1992. Claimant's Submission Agreement signed on: August 26. 1992. Th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Deana Susie Nelson Pratt, individually and as Guardian of Anthony Jack Brewster and Rebecca Michelle Owen, Minors 92-02908 Name of Respondent The Principal/Eppler. Guerin & Turner, Inc., f/k/a Eppler. Guerin & Turner. Inc. REPRESENTATION For Claimant: Deana Susie Nelson Pratt, individually and as Guardian of Anthony Jack

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Robert E. and Thelma J. Parrett NASD Arbitration No.92-02894 Name of Respondents) Dean Witter Reynolds, Inc. Terence Johnson For Claimants: Richard Sacks, Investors Recovery Service, Novato, California For Respondents: Paul D. Allen, Esq., Dean Witter Reynolds, Inc., San Francisco, California CASE INFORMATION Statement of Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jack T. & Bonnie J. Christie 92-02807 Name of Respondent Wheat First Securities. Inc. REPRESENTATION For Claimants Jack T. and Bonnie J. Christie ("Claimants"): L. Bruce McDaniel, Esq. of the law firm of DeBank, McDaniel & Anderson. For Respondent Wheat First Securities, Inc. ("Respondent"): Jonathan M. Harris, Managing Di

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Grant B. Morris NASD Arbitration No. 92-02806 Name of Respondents Dean Witter Reynolds, Inc. Robert Imhoff REPRESENTATION For Claimant: Jeff Dennis Ferentz, Esq. - Greenbaum and Ferentz - Newport Beach, California For Respondent: Wendy R. Robinson, Esq. - Dean Witter Reynolds, Inc. - San Francisco, California CA

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Rita A. Salmon Claimant vs. CASE AWftOT Waddell & Reed, Inc. Den Rosen Respondents CASE SUMMARY Pro Se Claimant, Rita A. Salmon, in a claim filed with the National Association of Securities Dealers, Inc. on December 5, 1990, alleged that Respondents misrepresented her investment options and the charges for withdrawal from her investments. Sh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Claimants Bruce A. Manchel. John F. Steel, IV, Philip J. McConkey vs. Name of Respondents Dean Witter Reynolds. Inc., Robert W. Inbody Worth H. Bagley NASD AW UDATED CASES #92-03459 REPRESENTATION For Claimants: Shirli Fabbri Weiss, Esq., Gray, Gary, Ames & Frye of San Diego, California. For Respondents: Kevi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between, Nellie Czerniak, Dolores Ponticeiii, Leon Czerniak & Ronald Czerniak j Claimants ) ) AWARD vs. ) ) NASD S90-03438 Dean Witter Reynolds, Inc. ) Stephen Anderson ! William Blanke ) Respondents ) REPRESENTATION Claimants were represented at hearing only by Mitchell I. Green, Esq. of Los Angeles, California; at all other times they