N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) George Sookman NASD .Arbitration N 0.93-00304 Name of Respondents! J.B. Hanauer & Company Norman Lehrer REPRESENTATION For Claimant: Michael Anatole, Esq., Murphy and Gold, Calabasas, California For Respondent: Gina M. Calvelli, Esq., Riordan & McKinzic, Los Angeles, California CASE INFORMATION Statement of

_ N.A.S.D. AWARD NATIONAL ASSQCTATTON OF SECURITTFS DEALERS. INC. In the matter of the Arbitration Between Name of Cl^irpants Louis Berns and Evelyn Bems NASD Arbitration No.92-01747 Name of Respondents Jack Halpem Norma Ypeger John Barren Yaeger Securities REPRESENT ATTON For Claimants: Robert M. Roth, Investors Arbitration Services, Inc., Woodland Hills, California For Respondent Jack Halpem: Jack Halpem, Van Nuys, Cali

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Dennis A. Tangalos, M.D. vs. NASD Name of Respondent Gregory D. Weinstein For Claimant: Pro Se For Respondent: H. Thomas Fehn, Esq. of Fields, Fehn & Sherwin of Los Angeles, California CASE INFORMATION Statement of Claim filed: May 26, 1992 Claimant's Submission Agreement signed: May 20, 1992 Statement of Answer filed by Respond

N.A.S.D. AWftHD NAXICHftL ASSCCIATXCN OF SBCOR1TISS DEALERS In the Matter of the Arbitration Betweea G. Anna Singer vs. 91-03006 Ntoe ofjtegoandgit(s) Shraxsan Tjebnan. Huttna, Inc. Gregory Nfrrlander Ride Kendall BBBJPIBflBTHaT^n^Kf FOOT r ^ a *'"f T itT jcfan. B. Tf^T»fl*nnjh, Esq. / For RBBpoodants: Michaal M. Gleaa, Eaq., Keeaal, Young 6 Logan, Long Statanoot of Claim filed: Sflptori3«r 26, 1991 Stataocnt

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTU1TES DEALERS In the Matter of the Arbitration Between Name of Claimants Orville and Sheila Block - — 91-02775 Name of Respondents Paine Webber, Inc. Stephen Lococo REPRESENTATION For Claimants at the hearing: Barry Lake, Esq., Lincoln, Nebraska. For Respondent PaineWebber at the hearing: Joseph A. Vallo, Esq. of PaineWebber, Inc., Weehawken. New Jersey. For Respondent Stephen Lococo at the hea

N.A.S.D. NRTXCNAL ASSOCIftlTCN OF SECCSTfTSS DEALERS Tn t-ha Mafcl-gr nf t-fao A-HirH-Y-aMnn Raima Kbenig NASD Axbitxati No. 91-02710 vs. Kama of Reapondmfa Shearson Lefcnan Brothers, Inc Mike Frew For dainant: James J. .gsllivan, Esq. For Respondent: Williasi 1. McDonnell, Jr. Esq. reeonl Young & Logan Statement of Halm filed* August 29,1991 dainant's Submission Agreement signed on: August 23, 1991 Joint Statement of Answer and Moti

NASD Arbitration No.91-02682 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Ann Kennedy Foster Name gf Respondent(s) Sutro & Co., Inc. REPRESENTATION For Claimant: Jeffrey M. Jones, Esq., Law Office of Archibald M. Mull, Sacramento, California For Respondent: Daniel D. McMillan, Esq., Jones, Day, Reavis & Pogue, Los Angeles, California CASE INFORMATION St

N.A.S.D. AHARD NKTIONRL ASSOdKTlCH OP SECOBTTIES DEALERS In the Matter of tba Adiitxatioa Between Custom Stainless P r rn1r >f> 'f ^ Co., Inc. Jesse J. Tfcpsoott and Vera M. Sapnoott, Trustees NASD Arbitration No.91-01949 Mama of David Handy James Nielsen For daiaantst James J. Sullivan, Esq. - Investors Recovery Service, Saa Foe Baspcodents: Elizabeth P. Beezley - Keeeal, Young & logan, Lcaog Be*cH, Statement of naia fil

N.A.S.D. ANAKD NKTICNRL ASSOOarXCN OF ^wmuL-i'i-m DEALERS In the Matter of the Arbitration Between of NASD Arbitration No.91-01855 , Inc. Tbcnsss John 0. Frayex For daimant: Paul W. Tbaaaa, Esq. Fur Kespcoueui,: Tiinrjii Yaiidesi, Esq. Saearsoa T^K«T»T» Brothers, Inc. Anended Statonent of rr»< ni filed: April 7, 1992 «fig^ J^xwuBQt signed cat JViDB 5> 1991 Joint Stateaeaat of Answer filed by Respondents on: August 29, 1991 *

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edna E. Hilbert, Individually and as Trustee of the Case Number: 05-03583 Carl G. Hilbert Trust and Edna B. Hilbert Trust, Hearing Site: St. Louis, Missouri Ann Spooner, Individually and as Trustee of the Carl G. Hilbert Trust, and Robert Spooner, Claimants, v, A.G. Edwards & Sons, Inc., Christopher Michael Maddock and Stephen Brent Sutler, Respondents. Nature of the