N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Helene Montrose 94-00412 Name of Resoondentf s) Dean Witter Reynolds Inc. Arthur Oilman Claudia White CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1994, Claimant Helene Montrose, who appeared Pro Se, alleged that Respondents Dean Witter Reynolds, Inc. ("DWR"),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Leckie Mattox, JU Ruth Mattox Automatic Gas Co. of Eufaula, Inc. 94-00411 Name of Resoondentfs^ Morgan Keegan & Company Inc Walter Y. Hooper REPRESENTATION For Claimants Leckie Mattox, ffl, Ruth Mattox and Automatic Gas Co. of Eufaula, Inc.: Ray O. Noojin, Jr., Esq. of the law firm of Hare, Wynn, Newell and Newton

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between * Name o f.lai Mao Ta Chen (aka Mo-Ta Chen) NASD Arbitration Yeng Feng Sbieh Chen #94-00404 vs. Name of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. Albert Shihnai Yuan REPRESENTATION For Claimants: Ms. Greta Chen - San Jose, California For Respondents: Michael Licosati, Esq., - Keesal, Young & Logan - Long Beach, Califo

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Alice Shotwell Gustafson, as Trustee for the Alice Gustafson Revocable Living Trust, Claimant and Counter-Respondent, v. No. 94-00401 Shearson Lehman Brothers, n/k/a Smith Barney, Inc., and James F. Peters, Jr., Respondents and Counter-Claimants. REPRESENTATION OF PARTIES Claimant and Counter-Respondent Alice Shotwell Gustafson, as Trust

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Merrill Lynch, Pierce Fenner & Smith, Inc. 94-00400 Name of Respondent/Counter-Claimant Louis Centore REPRESENTATION For Claimant/Counter-Respondent: Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") was represented by Maria D. Dickson, Esq. and Jack D. Ballard, Esq. of Andrews & Kurth, L.L.P., lo

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of C,}ftimant Margaret Cunningham and 94-00399 Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES Margaret Cunningham ("Claimant") was represented by Paul D. Hogan, Jr., Esq., Hogan and Hogan, Knoxville, Tennessee. Prudential Securities, Inc. ("Respondent") was represented by Gabriel Loubier, Esq., Prudential Se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS May Beth Hsieh, Claimant, v. No. 94-00394 Charles Schwab & Co., Inc., Rick Bergstrom, and Julie Layton Urban Respondents REPRESENTATION OP PARTIES Claimant May Beth Hsieh ("Claimant") appeared pro se. Respondent Charles Schwab & Co., Inc. ("Respondent") was represented by Monica Goebles, Esq., of Steptoe & Johnson, Phoenix, Arizona. CASE INFORMATION Claimant's Statemen

Award NASD Dispute Resolution, Inc. In the Matter ot me Arbitration between: Names of the Claimants Robert V. Windus Winona E. Windus, JTWROS Names of the Respondents First Union Brokerage Services, Inc. Mark McKnight Kevin Rogers Case Number: 01-02910 Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Claimants Robert V. Windus and Winona E. Windus, JTWROS ("Windus"), hereinafter collectively referred to as "Claimants"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Ellis T. Booth NASD Arbitration No.94-00386 Name of fie$pondentfs) Financial Investment Network Corporation Robert Brennan REPRESENTATION For Claimant: Richard Sacks, Investors Recovery Service, Novato, CA For Respondents: David Markun, Esq., Zelle & Larson, San Francisco, CA CASE INFORMATION Statement of Claim f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Battle Creek Inc. c/o Peter B. Sommer 94-00385 Name of Respondents Fox and Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February I? 1994, Claimant Battle Creek, Inc. c/o Peter B. Sommer, which appeared Pro Se, alleged that Respondent Fox and Company Investments, Inc. so