12-21-1994 04:10PM FROM NflSD flrbitration/Chicago TO 12128503974 P.02 N.A.S-D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Billy S. and Martha L. Haynes 92-04169 of Respo Waddell & Reed, Inc. Richard C. Bousum For Claimants at the hearing: Scott £. Tarter, Esq. of Henderson, Daily, Withrow & DeVofc Indianapolis, Indiana. For Respondent, Waddell & Heed, Inc. at the hearing

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Elizabeth Sobol Case No. vs 92-04152 Name of Respondent Kidder, Peabody & Co., Incorporated REPRESENTATION For Claimant Elizabeth Sobol ("Sobol 11 ) appeared Jeffrey L. Liddle, Esq., of the law offices of Liddle & Robinson located in New York, New York. For Respondent Kidder, Peabody & Co., Incorporated ("Kidder Peabody") appeared Mark S. Di

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Clai Ray Roberts No. 92-04149 Name of Respondents Gruntal & Co., Inc. James Cox REPRESENTATION OF PARTIES For Claimant: Nicholas P. lavarone, Esq., of Bellows and Bellows, Chicago, Illinois. For Respondents: Kimberly Unger, Esq., of Gruntal & Co., Inc., New York, New York. CASE INFORMATION Statement of Claim filed on or about: December 8, 1992. Claimant's Submission Ag

N.A.3.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corlyn L. Althouse Case No. 92-04148 Name of Respondent Samuel R. Jones REPRESENTATION For Claimant, Corlyn L. Althouse ("Alehouse"): pm 5£.. For Respondent, Samuel r. Jones ("Jones"): pro 53. CASE INFORMATION Statement of Claim filed: December 8, 1992. Claimant's Submission Agreement signed on: December 3, 1992. St

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. 92-04137 Name of Respondent Michael Fakih RF.PRFSF.ATTATION For Claimant: Dean Witter Reynolds, Inc. ("Dean Witter") was represented by Mark R. Werder, Esq. of Honigman Miller Schwartz and Conn, located in Detroit, Michigan. For Respondent: Michael Fakih ("Fakih") was represented by Walter L. Baumgard

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roberta Chapey Case# vs. 92-04136 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc. Frederick B. Mitchell, m Claimant, Roberta Chapey, was not represented by counsel. For Respondents, Merrill Lynch Pierce Fenner & Smith, Inc. ("MLPF&S") and Frederick B. Mitchell, M ("Mitchell"), Dominick Evangelista, Esq., from t

12/02/02 MON 12:55 FAX NASD REGULATION 1002 AWARD NASD Dispute Resolution In. the Matter of the Arbitration Between Name of Claimants Greg McMahon and GE Associates, LLC and 01-02520 Phoenix, Arisorm Name of Respondents Joseph Charles & Associates, Inc. Charles; J. Fabiang OF PARTIES Greg McMahon and GE Associates, LLC ("Claimauts") were represented by Michael Salcido, Esq,> Renaud, Cook & Druiy, P.A. a Phoenix, Arizona.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant! Steven & Tncey Crookea 92-04133 Hibbard Brawn & Company Inc. Rufus Cheater m CTTMVf A In a claim filed with the National Association of Securities Dealers, IDC. on December 8, 1992, Claimant* Steven * Tncey Crookci, who appeared Pro Se, alloyed thai Respondent Rufus Chester m, while employed by Respondent HlbbenJ Brown A C

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward D. & Marian S. Hengerer 92-04132 Name of Respondents Dean Winer Reynolds Inc. Stella Lewis CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 8, 1992, Claimants Edward D. & Marian S. Hengerer, who appeared Pro Se, alleged that Respondent Stella-Lewis, while

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant California Water Holding, Ltd. 92-04131 Name of Respondent Shearson Lehman Brothers. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on December 12. 1992, Claimant California Water Holding, Ltd. through its representative, Thomas J. Adams, alleged that Respondent Shearson