N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimantls^ Elden Farm Ivan and Lellah Harris Dean Marler and Bernice Marler John and Gwendolyn Wilson Edward Kobe and Norma Kobe Richard and Janice Moon Charles and Beatrice Baldridge Bill and Mary Hart Sharon Kent Wes L. Clark Bernadeen Dowd and Barbara Mahoney Denzil and Traci Rogers Paul and Susan Paduano

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Elden Farm Ivan and Lellah Harris Dean Marler and Bernice Marler John and Gwendolyn Wilson Edward Kobe and Norma Kobe Richard and Janice Moon Charles and Beatrice Baldridge Bill and Mary Hart Sharon Kent Wes L. Clark Bernadeen Dowd and Barbara Mahoney Denzil and Traci Rogers Paul and Susan Paduano

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Elden Farm Ivan and Lellah Harris Dean Marler and Bernice Marler John and Gwendolyn Wilson Edward Kobe and Norma Kobe Richard and Janice Moon Charles and Beatrice Baldridge Bill and Mary Hart Sharon Kent Wes L. Clark Bernadeen Dowd and Barbara Mahoney Denzil and Traci Rogers Paul and Susan Paduano

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between aift of Victoria M. Eastus 94-01362 ty«me of Respondent 8 L. P. Charles & Goings, Inc. Betty J. Davis CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 11, 1994, Claimant Victoria M. Eastus, who appeared pro se, alleged that Respondents L. P. Charles & Goings ("LP") and Betty J. Davis ("Dav

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03028 Alton T. Davis, Jr. Name of the Respondents Hearing Site: Chicago, Illinois Salomon Smith Barney, Inc. and William Lee REPRESENTATION OF PARTIES Claimant Alton T. Davis, Jr. ("Davis"), hereinafter referred to as "Claimant," was represented Bradley P. Nelson, Esq. of the firm Schopf & Weiss located in Chicago, Illinois. Respond

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Elbert Derrick and 94-01347 Shearson Lehman Brothers, Inc. and Jack Pausman REPRESENTATION OF PARTIES Claimant, Elbert Derrick, was represented by Mark Larson, Esq. of Dommermuth, Brestal, Cobine & West, Ltd., Naperville, Illinois. Respondents, Shearson Lehman Brothers, Inc. and Jack Pausman, were represented by Ann Parry, Esq. of Smith Barne

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George R. Hammer 94-01336 Name of Respondents Edward D. Jones & Co. Brian T. Duffy CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 8, 1994, Claimant George R. Hamrtler, who appeared Pro Se, alleged that Respondents Edward D. Jones & Co. and Brian Duffy overcharged him for the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ronald J. Abbott 94-01322 Name of Resnonden^ PaineWebber Incorporated REPRESENTATION For Claimant: Ronald J. Abbott ("Abbott") was represented by Susan Mumane, Esq. of Chirco, Herrinton, Runstadler & Thomas, located in Troy, Michigan. For Respondent: PaineWebber Incorporated ("PaineWebber") was represented by Michael P. Coa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Taira Nagasawa, Custodian for Lucy H. Nagasawa NASD Arbitration #94-01392 vs. Name ot Respondents Cowen & Company Whale Securities Co., L.P. Calvin Mees Reynolds Kendrick Stratton, Inc. Robert A. Williky William R. Page REPRESENTATION For Claimant: Morton Levy, Investor Advocates, Emeryville, Californi

Award NASD In the Matter of the Arbitration Between: Name of Claimant James and Tammie Baxley Name of Respondent Morgan Stanley DW Inc. Case Number: 01-03026 Hearing Site: New Orleans, Louisiana REPRESENTATION OF PARTIES For James and Tammie Baxley ("Claimant"): L. Jerome Stanley, Esq., L. Jerome Stanley, P.C., Baton Rouge, Louisiana. For Morgan Stanley DW Inc. ("Respondent"): David D. Sterling, Esq., Baker Botts, L.L.P., Houston, Texas.