PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Onita A. Maison-Luisi & James V. Luisi 92-04273 Name of Respondents Jack White & Co. Inc. Robert O. Reed CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 22,1992, Claimants Onita A. Maison-Luisi & James V. Luisi, who appeared Pro Se, alleged that Respondent Jack

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Joseph O. and Marquerite Lampe 92-04267 Names of Respondents Biltmore Equities & Securities, Ltd Mark P. Malenfant William R. Hecht Kyle Hecht : =- : * REPRESENTATION Claimants, Joseph and Marquerite Lampe were represented by Joseph M. Huey, Esq. of Brandes, Lane & Joffe, P. C.; Phoenix, Arizona. R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant People's Securities, Inc. vs. Case # 92-04264 Name of Respondent Paul A. Spinnato REPRESENTATION For Claimant: William J. Wenzel, Esq. of Pullman & Conley, Bridgeport, Connecticut. For Respondent: Kenneth A. Votre, Esq. of Sklarz Early & Avallone, New Haven Connecticut. CASE INFORMATION Statement of Claim filed: December 18

STIPULATED AWARD NASD Dispute Resolution, Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. x In the Matter of the Arbitration Between UBS/PAINEWEBBER INC., Claimant, NASD Case No. 01-02550 and DAVID W.JACK, Respondent. x REPRESENTATION OF PARTIES Claimant, UBS/PaineWebber Inc., hereinafter referred to as "Claimant": Lisa A. Catalano of the law firm of Davidson, Manchel & Brennan, LLP in New York, New Jersey and Massachus

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Virgil and Virginia Parker, JTWROS 92-04260 Name of Respondents Carmen M. Glikberg Mathews. Holmquist & Associates, Inc. REPRESENTATION For Claimants: Virgil and Virginia Parker. JTWROS, were represented by Mark G. Schrader, Esq. of Jennings, Jacknewitz & Schrader, P.C., located in Belleville, Illinois. For Respondents: Ma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Men L. Chappie Case No: 92-04258 Name of Respondents Dean Witter Reynolds, Inc. and Dean Witter Trust Company REPRESENTATION For Claimants, Men L. Chappie ("Chappie"): Charles D. Franken, Esq. in Plantation, Florida. For Respondents, Dean Witter Reynolds, Inc. and Dean Witter Trust Company, ("Witter"): Glenn D. Kelley o

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph A. Ciaramella 92-04256 Name of Respondent Prudential Securities, Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 22,1992, Claimant Joseph A. Ciaramella, who appeared Pro Se, alleged that in August of 1987, he invested with Respondent Prudential S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Helen 0. Toth and the Estate of Zsigmund J. Toth 92-04255 Name of Respondents Smith Barney Harris Upham & Co., Inc. (n/k/a Smith Barney, Inc.) Raymond F. Faby REPRESENTATION The Claimants Helen O. Toth and the Estate of Zsigmund J. Toth ("Claimants") were represented by Richard W. Drury, Esq. and Alexander R. McMullen,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maner of the Arbitration Between Name of Claimants Henry G. Lulkin and Frances Lulkin 92-04250 Name of Respondents Prudential Securities. Inc. Robert Allen RfiiPK KEPT ftiTOr* For Claimants, Henry G. Lulkin and Frances Lulkin ("Lulkin"): Mark A. Tepper. Esq. For Respondents, Prudential Securities, Inc. ("Prudential'') and Robert Allen ("Allen"): Lisa V. Gianneschi, Esq.

c . 3351.11 ?. N.A.S.D. AWAHD NATIONAL ASSOCIATION- OF SECURITIES DEALERS In the Mater qf the Alfa frraf tag Betweea Name of Claimant Pemod & Coatpany 92-04248 Gregory V. Soflivin For Cfctiounc Penzcd ft Cao^my w» wprewued byEegjieC. Gdffis, Biq. of Morxiioo & Hccfeter, bxtMditt Enns C3ty, MStaoassL For Bt^codeot: Gsgaqr V. SotUran wii rejHweaatelbyJ^flajDieKm, B«I. of A-G.Edwanh A Sam, loc, St. Loati, Missouri. 5nffnnnirof QaiMfflBd