N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Interstate/Johnson Lane Corp. 94-00172 Name of Respondent Arthur N. Johnson REPRESENTATION For Claimant Interstate/Johnson Lane Corp. ("Claimant") appeared Pamela P. Wamement, Esq.. Deputy General Counsel of Interstate/Johnson Lane Corp. located in Charlotte, North Carolina. For Respondent Arthur N. Johnson ("Respondent") appeared Carl B. Hubbard, Esq. of the law

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Kenneth and Lillian Lee Case No. 94-00160 Name of Respondents Brokers Investment Corporation Michael Grossman REPRESENTATION For Claimant, Kenneth and Lillian Lee (the "Lees"): Brian J. Sheen of Investment Loss Recovery Services, Inc. of Boca Raton, Florida. For Respondent, Brokers Investment Corporation ("BIG"): pro se (s

f * Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Ann Gifford, Claimant v. Raymond James Financial Services, Inc., Paul Hanson, Jr. and Ellen E. Shell, Respondents Case Number: 01-02923 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Timothy Canning, Esq. Richard Sacks Novato, California For Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantf st Mendel and Sara Bialogorsky Name of RespondentCs) Mark A. Brannigan Schneider Securities, Inc. 94-00158 For Claimants Mendel and Sara Bialogorsky ("the Bialogorskys"): Howard Weinstein, Esq. of the Law Offices of Thomas E. Click, P. A., Miami, FL. For Respondents Mark A. Brannigan ("Brannigan") and Schneider Securities, Inc

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. la the Matter of the Arbitration Between Kfanrif. n Robert J. Shapiro and 944)0154 Mame PaineWebber, Inc. Timothy Grantham OFPARTTRS Robert J. Shapiro ("Claimant") appeared pro se. PaineWebber, Inc. and Timothy Grantham ("Respondents") were represented by Nicholas P. Kapur, Esq., PaineWebber, Inc., Weehawken, New Jersey. r ASP. TMTDPVf ATTfW The Statement of Claim was fi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph and Lorna Seikowe 94-00152 Name of Respondents Invest Financial Corp. Richard Burgio REPRESENTATION For Claimant: Sanford Hausler, Esq., Brooklyn, New York. For Respondents: Eugene B. Harper. Esq. of Invest Financial Corp., Tampa, Florida. CASE INFORMATION Statement of Claim filed: January 13, 1994. Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS * In the Matter of the Arbitration Between Name of Claimants H. Winnfield Stevens Patsy Jo Stevens NASD Arbitration No. 94-00149 Name of Respondents Kemper Securities, Inc. Timothy Neil Taub REPRESENTATION For Claimants: In propria persona For Respondents: A. Brad Busscher, Esq., Vice President and Senior Attorney, Kemper Securities, Chicago, Illinois CASE INFORMAT

N.A.SJ). AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of me Arbitration Between Robert V. Shoemaker & Marjorie L. Shoemaker 94-00147 Name of Respondejiyj Prudential Securities Incorporated; W. C. Skinner; Mark Trevillian REPRJSSENTATION For Claimants: Robert V. Shoemaker and Marjorie L. Shoemaker ("Shoemaker") were represented by Donald M. Fefertnan, Esq. of Feferman & Rehler, L.L.P., located in Corpus Christi, Texas.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Robert L. Culver 94-00144 Name of Respondent(s) A.G. Edwards & Sons, Inc. John Griner REPRESENTATION For Claimant Robert L. Culver: J. Pat Sadler, Esq., of the law firm of Sadler and Associates, Atlanta, GA. For Respondents A.G. Edwards and Sons, Inc. and John Griner: Jeff Jamieson, Esq., in-house counsel

NASD AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Robert Thomas Securities, Inc. Case Number and 94-00142 Name of Respondent Michael E. Murphy REPRESENTATION OF PARTIES For Robert Thomas Securities, Inc. ("Claimant") appeared Joseph A. Vallo, Esq.. a sole practioner, located in New York, New York. For Michael E. Murphy ("Respondent") appeared James M. Reilly, Esq., of Herzog, Engstrom & Koplov