PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael Ventry and Mary Louise Ventry 92-03188 Robert Thomas Securities, Inc. William Btedsoe CASE SUMMARY In a claim filed with the National Associate Claimants Michael and Mary Louise Ventry, who appeared Fro Se, alleged that on September 5, 1991 they were solicited by Respondent William Bledsoe, an agent of Respo

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Estate of Willie Copeland. Rebie Morrow as Administratrix 92-03186 Name of Respondent Shearson Lehman Brothers, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 22, 1992, Claimant Rebie Morrow, Administratrix of the Estate of Willie Copeland, by and through

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sara Bachman Ducey 92-03183 Name of Respondents Olde Discount Corporation Terry Wrightson REPRESENTATION Claimant Sara Bachman Ducey ("Claimant") was represented by: John A. Ritchie, Attorney at Law. Respondents Olde Discount Corporation and Terry Wrightson ("Respondents") were represented by: Mark L. Kowalsky, Esq. of

N.A.S.D. AWARD Qtl\ NATIONAL ASSOCIATIOM OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Boyd H. Anderson, Jr. as Successor TTBB and Lawrence Larche, Executor, Frederick A. Heitman Estate Case No. 92*03466 and 92-04030 Consolidated Name of Respondents >r Dean Witter Reynolds, Inc. Smith Barney Harris Opham & Co., Inc. Earl Miller RIPRESEHTATXOH For Claimants, Boyd H. Anderson, Jr. as Successor TTB

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert M. Wren, Claimant v. Morgan Stanley DW, Inc. and Clarke E. Hamilton, Respondents Case Number: 01-02456 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES For Claimant: Eric R. Clark, Esq. Pedersen, Clark and Jackson Twin Falls, Idaho For Respondents: Gary Jackson, Esq. Morgan Stanley DW Inc. New York, New York CASE INFORMATION Statemen

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Brooks Holladay, Attorney-in-Fact for Donald Holladay, TTE Donald Holladay TTE No. 92-03174 Name of Respondents Prudential Securities, Incorporated Steve Wilhite Peter Lynch REPRESENTATION OF PARTIES For Claimants: Don Maddox. Esq. and Paul Pusateri, Esq. of the Maddox Law Firm, Hobbs, New Mexico. For Respondents: Gabriel Loubier, Esq., Prudential Securities,

N.A.S.D. AWARD _, 711 L.J "* . . .» ^*f 1_ „ NATIONAL ASSOCIATION OF SECURITIES DEALERS. ING/ 1 -tC ( » i In the Matter of the Arbitration Between '_ _ ; Name of Claimant Kenneth E. Houghtelling and Sonya Houghtelling and 92-03170 Name of Respondent Consolidated Investment Services. Inc. REPRESENTATION 7 OF PARTIES Kenneth E. Houghtelling and Sonya Houghtelling ("Claimants") were represented by William D. Nelson,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants First Hanover Securities. Inc. The Chicago Corporation Name of Respondents Investors Choice Securities. In Berkley C. Badger David A. Yunekau REPRESENTATION For Claimants, First Hanover Securities. Inc. and the Chicago Corporation, at the hearing: Frank E. Pasquesi. Esq. of Coffield Ungaretti & Harris, Chicago, Illinoi

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Emily Giovagnoii 92-03166 Name of Respondents Shearson Lehman Brothers, Inc. Robert Bradley Frederickson CASE SUMMARY In a claim filed with the National Association of Securities Deafen, IDC. on September 21,1992, Claimant Emily Giovagnoii, through her counsel, Walter I. Middtecamp, Jr., Esq. of Portland, OR, all

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Narne of Claimant Robert Maciej 92-03147 Name of Respondents Cohig & Associates. Inc. Leon Cisneros For Claimant at the hearing: Pro Se. For Respondents at the hearing: Jeffrey J. Scott, Esq. of Krys, Boyle, Goltz, Reich & Freedman, Denver, Colorado. CASE INFORMATION Statement of Claim filed: October 6, 1992. Claimant's Submission Agree