KT.A.S.B. OF ~n the matter of the Arbitration Between Mama of glaipiant: ( fl \ Dean Witter Reynolds inc. NASD Arbitration No. 33-03217 nf ag>iri*nt- f a V Hector Resales For Claimant: Michael J. Abbott, Esq., Jonee, 3ell, Simpson & Abbott, Io» Angelea, California For Respondent: No Appearance by Respondent Statement of Claim filed: August 13, 1993 Claimant's Submission Agreement signed: August 10, 1993 Respondent Hector Resales

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of CJ^imants E.T. Hermann and Jane Hermann, Trustees For the Hermann Living Trust Account NASD Arbitration vs. #93-03216 Name of Respondents Gruntal & Company, Inc. Scon Mathis REPRESENTATION For Claimants: Janet Braver, Esq., Vogl & Meredith, San Francisco, California For Respondents: Eric S. Hutner, Esq., Gruntal &

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Party Name(s), Samuel R. Bacon vs. PaineWebber Incorporated, JC. Bradford & Co., and Lawrence Taylor (Respondents)). Case Number: 01-02665 Hearing Site: Nashville, Tennessee REPRESENTATION OF PARTIES Clairnant(s), Samuel R. Bacon ("Bacon"), hereinafter referred to as "Claimant": Attorney Name, Hugh J. Moore, Esq., and Rosemarie L Bryan, Esq., Witt, Gaither & Whi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Medical Center Anesthesiologists FBO Jam 93-03215 Name of Respondents Merrill Lynch, Pierce Fenner & Smith Inc Thomas J. Clark Claimant Boatmen's National Bank of Des Moines (Formerly First Interstate Bank of Des Moines, N.A.) Trustee for Medical Center Anesthesiologists FBO James D. German, D.O. ("Claimant") was represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant FideUty Brokerage Services, Inc. National Financial Services Corp. Case* vs. -..»•• • • - • 93-03211 Name of Respondent Michael Hillman Claimants, Fidelity Brokerage Services, Inc. and National Financial Services Corp. ("Claimants"), JylicJiaelG. Shannon, Esq. of Phillips Lytle Hitchcock Blaine & Huber locat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Faith Goldfarb 93-03208 Name of Respondents Peter Goffln Comvest Securities, Inc. REPRESENTATION For Claimant, Faith Goldfarb ("Goldfarb"): Adam Smith, Investors Arbitration Services, Inc. Boca Raton, Florida. For Respondent, Peter Coffin ("Coffin"): Charles E. Scarlett, Esq., Boca Raton, Florida. For Respondent, Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Nusinow 93-03205 Name of Respondent Merrill Lynch. Pierce. Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 17, 1993, Claimant Michael Nusinow, who appeared Pro Se, alleged that on June 23, 1993, Claimant's broker, Mr. Kevin Dickey, informed Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Louis A. & Betty J. Stock Award vs. 93-03200 Name of Respondent Chubb Securities Corporation For Claimant: Louis A. & Betty J. Stock("Claimant"): Stock, pro se. For Respondent: Chubb Securities Corporation ("Chubby-James M. Moore, Esq., of Lindhorst & Dreidame, located in Cincinnati, Ohio. CASE INFORMATION Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James E. Viktora. IRA James E. & Virginia M. Viktora 93-03196 Name of Respondent Griffin Financial Services CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 13, 1993, Claimants James E. & Virginia M. Viktora and James E. Viktora, IRA, who appeared Pro Se, alleged that Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS. INC. In the matter -f the Arbitration Between Name of Claimant is) Urban Best Lewana Best NASD Arbitration No. 93-03191 Name of Respondent __ Prudential Securities, Inc REPRESENTATION For Claimants: J. Leo Federman, Investors Rights Association, Santa Barbara, California and Dennis G. Merenbach, Esq., Santa Barbara, California For Respondent: Michael M. Gless, Esq., Keesa