RECEIVED MEDIATION RECEIVED BEFORE THE ARBITRATION BOARD OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC TONY LOUKA AND BRENDA EVANS-LOUKA, ) NASD CASE NO. 94-02243 Claimants, ) AWARD vs. ) DEAN WITTER REYNOLDS INC. AND ) RICHARD NELSON, ) Respondents. ) DEAN WITTER REYNOLDS INC., ) Counter-claimant, ) vs. ) TONY LOUKA AND BRENDA EVANS-LOUKA, ) Counter-respondents. ) REPRESENTATION For Claimants and Counter

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between GUY MIALI, Claimant, v. NASD No. 94-2238 WESTMARK. SECURITIES CORPORATION and RONALD CATTO, Respondents. Representation For Claimant: Guy Miali of Bellinghara, Washington For Respondent: Ronald Catto of Westmark Securities, Santa Monica, California Case Information Statement of Claim filed: June 9, 1994 Claimant's Submission Agreement signed

N.A.S.D. AWARD fj NATIONAL ASSOCIATION OF SECURITIES DEALERS '. ,,. iOtli In the Matter of the Arbitration Between . ] i v& Name of Claimant — '~~- Martin Zides Award # vs. 94-02235 Name of Respondents David Sayib Jeff Nimberg Joseph Shevlin Mark Savoca REPRESENTATION Claimant, Martin Zides ("Claimant"), appeared pro se. For Respondents, David Sayib ("Sayib"), Jeff Nimberg ("Nimberg"), Joseph Shevlin ("Shevlin"), and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alexander Patsenker 94-02226 Names of Respondents Piper, Jaffray & Hopwood, Inc. and Roman Gadaskin REPRESENTATION Claimant, Alexander Patsenker was represented by Paul W. Thomas, Esq. of The Law Offices of Paul W. Thomas. Carlsbad, California. Respondents, Piper Jaffray, Inc. and Roman Gadaskin were represented by Rebecca

Award NASD in the Matter ol trie Arbitration Between: Name of the Claimant Case Number: 01-03176 Steven 1. Hershkowjiz Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Michael Arundel REPRESENTATION OF PARTIES For Steven 1. Hershkowitz ("Hershkowitz"), hereinafter referred to as "Claimant": Kim Steven 3uhase ? Novak & Juhase, Roseland, New Jersey. For Morgan Stanley DW, Inc. ("MSDW") and Michael Arun

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David J. Vogt 94-02225 Name of Respondent Fidelity Brokerage Services REPRESENTATION For Claimant/Counter-Respondent: David J. Vogt ("Vogt") appeared pro se at the hearing. For Respondent/Counter-Claimant: Fidelity Brokerage Services ("Fidelity") was represented by Dennis K. Egan, Esq. of Butzel Long, located in Detroit, Michig

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS • In the Matter of the Arbitration Between Name of Claimant^ s) Peter and Kiyomi Van Asperen 94-02220 Name of Respondents) Kim Nazarek Dan Stockemer For Claimants: Peter Van Asperen, Santa Rosa, California For Respondents: Colleen C. Hammer, Esq., Ed Zusman, Esq., Zelle and Larson, for Respondent Kim Nazarek Respondent Dan Stockemer represented himself. CASE INFORMATION St

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jane Lake Porter, individually and as Trustee of the Jane Lake Porter Revocable Trust and 94-02218 GRF Capital Investors. Inc.. Capitoi Hedge Partners. Garv R. Fishel. Jim A. Turley. Rauscher Pierce Refsnes. Inc. and Regional Operations Group REPRESENTATION OF PARTIES Claimants, Jane Lake Porter individually and as Trustee of the Jane Lake Po

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name.of Claimant Robert M. Shydo 94-02209 Name of Respondent Investors Asset Management, Inc. REPRESENTATION^ For Claimant: Robert M. Shydo ("Shydo"): Phillip J. Snyderburn, Esq. of Synderburn, Rishoi & Swann, Winter Park, Florida. For Respondent: Investors Asset Management, Inc. ("LAM"): Wm. Scott Lindsey, Esq. of Lindsey & Williams, P.A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS (n the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc. 94-02301 Name of Respondent Paul J. Mauser CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 16, 1994, Claimant Prudential Securities Inc. ("PSI"), through its representative and in-house counsel, Christopher Freeze, Esq., alleged that Respondent Paul J. H