N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Paine Webber. Inc. 92-04223 Name of Respondents Gregory A. Otterman REPRESENTATION For Claimant, PaineWebber, Inc. ("P.W."): Steven M Greenbaum, Esq. of P.W. For Respondent, Gregory A. Otterman ("Otterman 1 '): pro se. CASE INFORMATION Statement of Claim filed: 12/17/92. Claimant's Submission Agreement sign

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimant Clark Darnell Robideaux 92-04222 NameofResDondenjs Hibbard Brown & Co., Inc. Richard S. Marous CASE SUMMARY In a claim filed with the National Association of Securities Deters, Inc. on December 17, 1992, Claimant Clark Darrell Robideux who appeared Pro Se, alleged that in late 1991 he was called repeatedly by Respo

N.A.S.D. AWARD Kg-TIQNAT. ASSOCIATION OF SECURTTTFS DEALERS. TNC. In the matter of the Arbitration Between Name of Claimants Earl L. Carriilo Blanche I. Carriilo NASD Arbitration No. 92X54217 Name of Respondents Bateman Eichler, Hill Richards, Inc. Kemper Securities, Inc. T«ll>Ot RFPRFS^NTATTON For Claimant: Richard Sacks, Investors Recovery Service, Novato, Ca. For Respondents: A. Brad Busscher, Esq. - Kemper Securities, Inc. -

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mameof-CJaimants Genevieve Beni & Dennis Wayne Bern 92-04189 Invest Fmantial Corporation CASK SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 15,1992, nahnants Oenevieve & Denms Berri. who appeared Pro So, alleged flat on December 10,1991 Claimant Genevieve Beni went to Respondent California Federal Ba

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of r!l Roy Dinwiddie Elizabeth Dinwiddie NASD Arbitration No. 92-04187 o Resondents Dean Witter Reynolds, Inc. Brad Vorhees lane Doe Vorhees REPRESENTATION For Claimant: John Miller, Esq. - Lynwood, Washington For Respondent: Brad Vorhees - Janet T. Love, Esq. - Dean Witter Reynolds, Inc., San Francisco, California For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard A. and Kellie Y. Becker, Richard A. Becker Roth IRA and Kellie Y. Becker Roth IRA, Claimants v. Hampton-Porter Investment Bankers, John W. Laurienti, Gregory Du Bois Walker, James D. Green, Jr., Niels C. Djernaes, and Michael W. Losse, Respondents Case Number: 01-02533 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jeffrey A. Feldman, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fernando Valverde Case No. 92-04184 Name of Respondents Prudential-Bache Securities Inc. Fernando G. Leyva * REPRESENTATION For Claimant, Fernando Valverde ("Vaiverde"): Dyanne E. Feinberg, Esq. of Gilbride, Heller & Brown. For Respondents, Prudential Securities, Inc. ("PSI") and Fernando G. Leyva ("Leyva"): Delmer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George Ryder Kemp 92-04178 Name of Respondents Smith Barney Harris Upham & Co., Inc. Richard R. Shalla. Jr. For Claimant, George Ryder Kemp, ("Kemp"): Robert H. Rex., Esq. of Dickenson, Murdock, Rex and Sloan. For Respondents, Smith Barney, Harris Upham & Co., Inc. ("Smith Barney") and Richard R. Shalla, Jr. ("Shaila"): Lar

PUBUC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofCJaimant Hal S. Crawford 92-04176 J.W. Gant and Associates, Inc. Hanifen, Imhofflnc. aA^ 11,1992, Claimant Hal S, Crawford, who appeared Pro Se, alleged that he was induced into making a stock purchaseby Respondent J.W. Ganf ant Associates, Inc. stockbrokers whereby be was led to believe that ChatfieW Dean was helping with this

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank J. Barnes Case No. 92-04170 Name of Respondents • Summit Investment Corporation Steven J. Henricks t - For Claimant,. Frank J. Barnes ("Barnes"): Michael G. Flanagan, Esq. ... For Respondents, Summit Investment Corporation ("Summit") and Steven J. Henricks ("Henricks"): Frank A. Taylor, Esq. of Popham, Haik, Schnobric