PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Florence J. Turner and Florence J. Turner Custodian for Christopher Germano 92-03494 Prudential Securities, Inc. Gerald Strand CASE SUMMARY In a claim fifed with the National Association of Securities Deato, Inc. on October 14,1992, Claimant Florence J. Turner & Florence J. Turner, as Custodian, who appeared Pro Se,

--_ ' N.A.S.D., Inc. NATIONAL ASSOCIATION OF SECURTTGFfl nF.AT.Kpfl In the Matter of the Arbitration Between Name of Claimants) Darla J. Kimbali NASD Arbitration 92-03493 vs. Dean Witter Reynolds Inc. and Donald K. Brooks, Jr. For Claimant: Wm. Patterson Cashill, Esq., Attorney and Counsellor at Law, Reno, NV For Respondents: Curt H. Mueller, Esq., Dean Witter Reynolds, Inc., San Francisco, CA CASE INFORMATION Statement of Claim filed: O

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Craig T. and Linda K. Fischer 92-03491 Name of Respondents J.W. Gant & Associates, Inc. Stephen H. Chu Pacific Southern Securities, Inc. Eric J. Russell Joanne (Jody) E. Swanson James Patrick Driver CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 14, 1992,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas R. Robinson. Jr. 92-03488 Name of Respondent F.N. Wolf & Co.. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on October 14. I9Q2. Claimant Thomas R. Robinson. Jr. who appeared Pro Se. alleged that Respondent F.N. Wolf & Co.. Inc. by and through their Account Execut

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Louis E. Fricke NASD Arbitration No. 92-03487 Name of Respondent^ Steve Roberts Michael Yauch REPRESENTATION For Claimant: Louis E. Fricke, Newhall, California For Respondents: Michelle Bryan Oroschakoff, Esq., Dean Witter Reynolds Inc., San Francisco, California CASE INFORMATION Statement of Claim tiled: October 13, 199

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-02479 Investec Ernest & Company, claimant vs. Bobby Park, respondent. ATTORNEYS: For Claimant appeared Michael Colombo, President, Streetwide Asset Recovery Group, Inc., New York, NY. Respondent did not submit a response to the Statement of Claim. DATE FILED: May II, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay an unsecured debit balance due to claimant's

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant} Marilvn M. and Robert Clauss Name of Respondents Bear Stearns & Company Brent Yarbrough 92-03485 'A\\ For Claimants at the hearing: John D. Hudson. Esq. of Carney, Hudson. Williams. Blackburn & Grask. Des Moines, Iowa. ; For Respondents at the hearing: William C. Mailery, Esq. of Bear Stearns & Company, New York, New Y

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph W. Tremont 92-03474 Name of Respondents Smith Barney Harris Upham & Co.. Inc. Robert M. Stringer CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 14, 1992, Claimant Reverend Joseph W. Tremont. who appeared Pro Se, alleged that Respondents Smith Barney Harris Upham & C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marydeil S. Dilworth, Trustee 92-03464 Name of Respondents Robert W. Baird & Co., Inc., Northwestern Mutual Life Insurance Company, John H. Myaard, David B. Schoon. Francis Gingras REPRESENTATION OF PARTIES For Claimants at the hearing: Peter W. Steketee, Esq., Grand Rapids, Michigan. For Respondents, Robert W. Baird & Co., Inc

K AWARD N'ATIQNAI, ASSOCIATION OF SFCLTtlTIpS DEALERS. INC. In the matter of the Arbitration Between nf f lair Goldy Soonenteld Family Trust Goldy Sonnenfeld NASD Arbitration N6.92-03463 First Investors Corporation Marvin S. Scberr ZevFogei For Claimant: Edward T. Swansea, Esq. - Swansea & Mcepos • Santa Monica, Ca. Tot Respondents: A. Thomas Moms, Esq. - Kirkpatrick & Lockfaart - Washington, D.C. CASE Statement of Claim filed: O