N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Nnme of Claimant Janeen Ashby 93-04839 Hying of Respondents Berthel Fisher and Company Financial Services, Inc. and Craig Halfpop REPRESENTATION OF PARTIES For Claimant, Janeen Ashby ("Claimant") at the hearing: Martin Petersen, Esq. of Klinkenborg, Hansmann & Mansheim, Parkersburg, Iowa. For Respondents, Berthel Fisher and Company Financial Services, Inc. ( n Berthel"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Vadim Roytman and Irena Kodes 93-04829 N.ame of Respondents Olde Discount Corp. and Gary Handzel Representation of Parties Claimants, Vadim Roytman and Irena Kodes ("claimants") were represented at the hearing by James C. Eccleston, Esq. of Uscian & Eccleston, Chicago, Illinois. Respondents, Olde Discount Corp. and Gary Handze

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Case Number 93-04825 NameofResDjmjJent Gary Bickham REPRESENTATION For Claimant Prudential Securities, Inc. (hereinafter referred to as "Prudential" or "claimant") appeared Donna Ross Daniels, Esq., in-house counsel with Prudential. For Respondent Gary Bickham (hereinafter referred to as "respondent"

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Garrick A. Peters and Loren S. Peters, Claimants v. Equity Trust Advisors, Inc., Marc J. Riviello and Henry D. Davidson, Respondents Case Number: 01-02839 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants Garrick A. Peters and Loren S. Peters: For Respondent Equity Trust Advisors, Inc. For Respondent Marc J. Riviello: For Respondent Henr

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Marguerite Curley and 93-04823 Name of Respondent Cullom & Sandow Securities, Inc. Grant B. Bortnem REPRESENTATION OF PARTIES Marguerite Curley ("Claimant") was represented by Robert L. Tobey, Esq., Johnston & Budner, Dallas, Texas. Cullom & Sandow Securities, Inc. ("Respondent Cullom") and Grant B. Bortnem ("Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Victor S. Sands Charlene L, Sands, Trustees NASD Arbitration No. 93-04822 Name of Respondent(s) Charles Schwab & Co., Inc. RBPRgggNTAT.TQN For Claimants: Bruce R. Safran, Esq., Sherman Oaks, California For Respondent: Mark T. Drooks, Esq., Bird, Marella, Boxer, Wolpert & Matz, Los Angeles, California CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Howard and Marianne Dranow NASD Arbitration No. 93-04819 Name of Respondents Drake Capital Securities, Inc. Craig Cryer REPRESENTATION For Claimants: Bruce R. Safran, Esq., Tarzana, California For Respondent Drake Capital: H Thomas Fehn, Esq., Fields, Fehn & Sherwin, Los Angeles, California Respondent Craig C

N.A.S.D. AMENDED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Norman C. Burks 93-04808 Name of Respondents A.G. Edwards & Sons, Inc. Mark Chestnut REPRESENTATION For Claimant: Jerry F. Safford, Esq. of Safford & Lanphear, Bowling Green, Kentucky. For Respondent A.G. Edwards & Sons, Inc.: Jeff Jamieson, Esq. of A.G. Edwards & Sons, Inc., St. Louis, Missouri. For Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jerome F. Van DeMotter 93-04806 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 18,1993, Claimant Jerome F. Van DeMotter, through his representative, Robert N. Rapp, Esq. of Caffee, Halter & Griswold, Cleveland, OH

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES PEAT ERS, INC. In the matter of the Arbitration Between Name of Claimants Orvis and Shirley Adams, TTEES/Adams Family Trust NASD Arbitration v. No. 93-04802 Name of Respondents Kennedy, Cabot & Company, Marc O. Fink and PieterDeVries RPP RF I ! S FNTATION For Claimants: Michael Hubennan, Esq., Greenbaum & Ferentz Newport Beach, California For Respondents Kennedy, C