N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Names of Claimants .- Charles M. and Carolyn S. HiU 92-03436 Names of Respondents PaineWebber. Inc. William David Wade CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on October 8, 1992 and Amendment to the Statement of Claim filed on November 25, 1992. Claimants, Charles M. and Carolyn S. Hill ("Hill

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS '- In the Matter of the Arbitration Between Name of Claimant NanceeW. Black 92-03435 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc. REPRESENTATION Claimant Nancee W. Black ("Black") appeared at the hearing prose. Respondent Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch") was represented at the hearing by John K. Shannon, Jr., Esq. of Merrill Lynch Pierce Fenne

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Salvatore and Lilian Sgammato 92-03433 Name of Respondents) Chubb Securities, Inc. REPRESENTATION For Claimants: Salvatore and Lilian Sgammato ("Sgammato"): Anthony Zinge, Esq. of Johnson, Blakely, Pope, Bokor, Ruppel & Bums, P.A.. For Respondent: Chubb Securities, Inc. ("Chubb"): Christopher Wells, Esq. of Lane Powell S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rita McNamara Fleet 92-03432 Name of Respondents Shearson Lehman Brothers, Inc. Robert Priolo KBPRKSENTATION For Claimant: Rita McNamara Fleet appeared pro-se. For Respondent, Shearson Lehman Brothers, Inc. and Robert Priolo: John P. Bevilacqua, of Shearson Lehman Brothers, Inc. CASE INFORMATION Statement of Claim f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between '';., Tanua and Gerald Thieitm vs. NASD #92-03430 Prudential Securities Gabriel Wisdom For Claimant: ShMiFabbri Weiss, Esq. of Gray, Gary, Ames &Frye of Saa Diego. CaHfarra. " • • • • . - • . „ . . . < • . - For Respondents: Patricia A* Htzpatrick, Eaq. of New York. New York CASE S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NjuneofClainiant ••• Richard Peterson 92-03428 Name of Respondent PaineWebber. Inc. CASE SUMMARY . - • * < ••. I •-> ; ... . In a claim filed with the National Association of Securities Dealers, Inc. on October 9, 1992, Claimant Richard* Peterson, who appeared Pro Se, alleged that on February 4, 1992, he signed a self

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Penelope Leonard, Claimant. v. No. 92-03424 Merrill Lynch Pierce Fenner & Smith, Inc., and Tom Marias, Respondents REPRESENTATION OF PARTIES Penelope Leonard ("Claimant") was represented by Donald E. Casey, Esq., of Springer, Casey, Dienstag & Devitt, P.C.. Chicago, Illinois. Merrill Lynch Pierce Fenner & Smith, Inc.. and Tom Marias ("Res

'H/12/2002 10:41 5613619458 JILL WILE PAGE 01/03 _+^ • i Award RECEIVED OCT 232002 in me Matter ol me Arbitration Between: Name of the Claimant Case Number: 01-02470 Prudential Securities, Incorporated Name of the Respondent Hearin£ Site: Boca Raton, FL Walter Alan Tye REPRESENTATION OF PARTIES For Prudential Securities, Incorporated, hereinafter referred to as "Claimant": Steven P. Gomberg, Esq., Rooks, Pitts & Poust, Chicago, Illinois.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dan Knaup 92-03421 Name of Respondents Barry A. Bates Michael Pittman Ralph Pittman Kevin Campbell •. - v i' ' .'. -, '' '' '* CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 8, 1992, Claimant Dan Knaup, who appeared Pro Se, alleged that Respondent Kevin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Boyce 92-03420 Name of Respondents Shearson Lehman Brothers, Inc. Edward H. Welbourn, in William O. Bare, Jr. REPRESENTATION Claimant John Boyce ("Claimant") was represented by Stephen R. Tully, Esq. and Steven Richman, Esq. of Seigel, Tully and Furrer. Respondent Shearson Lehman Brothers, Inc. ("Shearson") was represented By Charl