PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NaineofCJaiinants Peter C. Stephen, Jr. & Patricia Stephen 92-02819 Mariner Financial Services, Inc. R.B. Wilbur CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 21,1992, Claimants Peter & Patricia Stephen, who appeared Pro Se, alleged that Respondent R.B.Wilbur, through the firm Marin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Ariel and Yona Dotan vs. 92-02817 Name of Respondent! s) First Investors Corporation CASE SUMMARY In a claim tiled with the National Association of Securities Dealers. Inc. on August 21. 1992. Claimants Ariel and Yona Dotan who appeared pro se. alleged that Respondent First Investors Corp. failed to follow their explicit ins

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stephen E. Martin NASD Arbitration No. 92-2815 Name of Respondent Raymond H. Lubeck REPRESENTATION For Claimant: In Pro Se •' - For Respondent: In Pro Se CASE INFORMATION Statement of Claim filed: August 21, 1992 Claimant's Submission Agreement signed: August 17, 1992 Statement of Answer filed by Respondent: Non

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sandro Flores, Claimant v. Prudential Securities, Inc., Rodolfo Parente and John Debellis, Respondents Case Number: 01-02434 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Sandro Flores, hereinafter referred to as "Claimant": Hugo L. Black, Esq., Law Offices of Hugo L. Black, Jr., P.A., Miami, Florida. For Prudential Securities, Inc. ("Prudential")* Rodolf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Margaret M. Fieschko and 92-02813 Name of Respondents Bear Steams & Co., Inc. Kevin Haag REPRESENTATION OF PARTED Margaret M. Fieschko ("Claimant") was represented by Peter B. Schaeffer, Esq., Chicago, IL. Bear Steams & Co., Inc. and Kevin Haag ("Respondents") were represented by Nicholas P. lavorone, Esq. of Bellows

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Name of Claimant Pueblo of Jemez 92-02810 Name of Respondents Dean Witter Reynolds, Inc.; Scott R. Grady REPRESENTATION For Claimant: Pueblo of Jemez was represented by Luis Stelzner, Esq. and Timothy M. Sheeban, Esq. of Sheehan, Sheehan & Stelzner, P.A., located in Albuquerque, New Mexico, and David R. Yepa, Esq. of Albuquerque, New Mexico

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert and Barbara Devoti #92-02808 Name of Respondent Michael G. Hohner For Claimants Robert and Barbara Devoti ("Claimants"): Miland K. Gregory, a sole practitioner. For Respondent Michael G. Hohner ("Jlohner"): Mr. Hohner was not present at the hearing nor represented by counsel. CASE INFORMATION Statement of Claim file

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alfred L. and Bemice E. Licari 92-02800 Name of Respondent Werlitz Securities Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 20. 1992. Claimants Alfred L. & Bemice E. Licari, through their counsel. Dale P. Aho, Esq. of Aho & Potti, Farmington, MI. alleged that Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward and Rita Foon 92-02799 Name of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc.; Sidney Kogan REPRESENTATION For Claimants: Edward and Rita Foon (Toon") were represented by Anthony V. Trogan, Jr., Esq. of Weisman, Trogan, Young & Schloss, P.C., located in Birmingham, Michigan. For Respondents: Merrill Lynch, P

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lavinia J. Grady 92-02792 Name of Respondents Shearson Lehman Brothers. Inc. William Martin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 19, 1992, Claimant Lavinia J. Grady, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, Inc. through it'