N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary Ellen Hirsh 93-05048 Name of Respondent Fidelity Brokerage Services, Inc. (Fidelity Investments) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 7, 1993, Claimant Mary Ellen Hirsh, who appeared Pro Se, alleged that Respondent Fidelity Brokerage Services, Inc. failed to ab

NASD Arbitration No. 93-05046 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(si Alberto C. Alcantara Name of Respondent(s) Cullum & Sandow Securities, Inc. Louis Milton Strauss REPRESENTATION For Claimant: Michael Huberman, Esq., Greenbaum & Ferentz, Newport Beach, California For Respondents: Ben L. Krage, Esq., Kasmir & Krage, L.L.P., Dallas, Texas CA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Jo Minor 93-05044 Name of Respondents Prudential Securities, Inc. and Patrice A. Mackie REPRESENTATION OF PARTIES Claimant Jo Minor ("Minor") was represented at the hearing by Henry Field, Esq. of the Law Offices of Henry Field, Ltd., Chicago, Illinois. Respondent Prudential Securities, Inc. {"Prudential") was represented at the hearing by Christopher M. Mone, Esq. of Prudenti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas M. Joyce Case tt vs. 93-05039 Name of Respondent Legg Mason Wood Walker, Inc REPRESENTATION For Claimant, Thomas M. Joyce ("Claimant"), appeared Igor Sikorsky, Esq., located in Rocky Hill, Connecticut. For Respondent, Legg Mason Wood Walker, Inc. ("Respondent"), appeared William S. Rogers, Esq. of Tyler, Cooper &

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. — In the Matter of the Arbitration Between Name of Claimant Walter L. Schmelzel and 93-05034 Name of Respondent Richard W. Rogers Multi-Financial Securities Corporation REPRESENTATION OF PARTIES Walter L. Schmelzel ("Claimant") was represented by Jeffrey J. Scott, Esq., Krys Boyle Golz Reich Freeman & Scott, Denver, Colorado. Richard W. Rogers ("Respondent Rogers") was represent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Case No. Prudential Securities Inc. vs 93-05033 Name of Respondent Gary S. Isaacs REPRESENTATION For Claimant, Prudential Securities Incorporated ("PSI"), appeared Gilbert W. Boyce, Esq. of Kutak Rock. For Respondent, Gary S. Isaacs,("Isaacs") appeared Jeffrey L. Liddle, Esq. of Liddle, Robinson & Shoemaker. CASE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, nf the. Claimant Morgan Stanley DW Inc. (formerly Dean Witter Reynolds, Inc.), Name of the Kevin Sorrels, Case Number- 01-02865 Hearing Site: Houston, Texas ttFPttF< gFATATTOSJ O Claimant, Morgan Stanley DW Inc., hereinafter referred to as "Claimant," was represented by Diane C. Fischer, Esq. of Kane & Fischer, Ltd located in Chicago, Illinois.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Shawn Hull 93-05084 Name of Respondents Franklin-Lord, Inc. Timothy E. Young CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 8, 1993, Claimant Shawn Hull, through his representative, Robert M. Roth and Associates, Appleton, WI, alleged that Respondents Franklin-Lord, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clai Richard G. Gibby 93-05083 Name of Respondents Timothy E. Young Franklin Lord, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 8, 1993, Claimant Richard G. Gibby, through his representative Robert M. Roth, alleged that he had no investment experience prior to opening an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Margery F. Binch NASDArbitration No. 93-05079 Name of Resondents Gruntal 8c Co., Inc. Ronald Shoen REPRESENTATION For Claimant: Reed H. Bement, Esq. - San Francisco, California For Respondents: Donald N. Cohen, Esq. - Gruntal & Co., Inc. - New York, N. Y. CASE INFORMATION Statement of Claim filed: December 8,1