AWARD NASD Regulation, Inc. Dispute Resolution In the Matter of the Arbitration Between James M. Evans, and Shirley D. Evans. Claimants, v. No. 95-02049 Prudential Securities, Inc., PaineWebber, Inc., Daniel L. Zessinger, and Sandra M. Logay, Respondents. REPRESENTATION OF PARTIES Claimants James M. Evans and Shirley D. Evans were represented by Edward C. Cody, Esquire of Klutho, Cody & Kilo, P.C. Respondents Prudential Securities, Inc.

N.A.S.D. AWARD NATIQNALASSOCIATIONDF_SECIIEIIIESDFATP.RS, INC. In the matter of the Arbitration Between Name_of Claimant Stanley Szeto Name of Respondents NASD Arbitration No. 95-02046 Albert Scibilia; William T. Bullis; Tamaron Investments, Inc.; Conversion Industries, Inc.; and Coopers & Lybrand REPRESENTATION For Claimant: For Respondent Tamaron Investments, Inc. For Respondent Conversion Industries, Inc: For Respondent Albert

N.A.S JX AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants IssaRafcedie Nisreen Rafeedie NASD Arbitration vs. No. 95-02036 Name of Resppndents Merrill Lynch Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimant: Paul W. Thomas, Esq., Carlsbad, California For Respondent: Michael C. Licosati, Esq., Kecsal, Young fie Logan, Long Beach, California CASE INFORMATION

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION Prudential Securities Incorporated, Claimant v. No. 95-02030 Timothy J. Vos and Jamison Monroe, Respondents. REPRESENTATION OF PARTIES Timothy J. Vos ("Vos**), and Jamison Monroe ("Monroe") were represented by Eugene Clements, Esq. and Ruth B. Downes, Esq., Houston, Texas. Prudential Securities Incorporated ("PSI") was represented by David Sterling, Esq., and Bill Kroger, Esq., o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of'Claimant Paul C. Mason 95-02029 Name of Respondent Hamilton Investments, Inc. REPRESENTATION For Claimant: Paul C. Mason ("Mason"): Robert L Winicki, Esq., Jacksonville, Florida. For Respondent: Hamilton Investments, Inc. ("HIT): Lawrence T, Hofmaim, Esq. of Zelle & Larson, Minneapolis, Minnesota. CASE INFORMATION Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paragon Capital Corporation 95-02027 Name of Respondent Ralph J. Canino CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 27, 1995 Claimant Paragon Capital Corporation ("Claimant"), through its representative Compliance Director, Michele D. Wessel, alleged that Respondent Ralph J.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between The Ohio Company 95-02024 Name of Resoondent REPRESENTATION For claimant The Ohio Company ("claimant") appeared Marion H. Little, Esq., of the law firm of Zeiger, Dreher & Carpenter located in Columbus, Ohio. Respondent Gregory Morehead ("respondent") appeared pro se. CASE INFORMATION Statement of Claim filed: April 26, 1995. Claimant's sub

AWARD NASD Regulation, Inc. Office of Dispute Resolution In ihe Matter of Arbitration Between Robert Fitts, Carla M. Co/ad Trust. John Hldred Cozad Trust, Monica R. Cozad Trust, and Mary Lynne Cozad Trust. Claimants, and No. 95-02020 Stratton OakmonU Inc., and Riccardo White, Respondents. REPRESENTATION OF PARTIES Claimants, Robert Fitts. Carla M. Co/ad Trust. John Eidrcd Cozad Trust. Monica R. Cozad Trust, and Mary Lynnc Cozad Trust

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01887 Morgan Stanley Dean Witter, Inc., Claimant vs. Kevin Keane, Respondent. ATTORNEYS: For Claimant, Morgan Stanley Dean Witter, Inc., ("Claimant"), appeared Robert L. Tobey, Esq., of the firm Johnston & Tobey, P.C., Dallas, TX. Respondent, Kevin Keane, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: April 16, 2001 CASE SUMMARY: Claimant alleged that Respon

NASD Arbitration No. 95-02018 N.A-S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(si Audrey Lambert Name of Respor^ent: (a} Dunhill Equities, Inc. Meridian, Dunhill & Co., Inc. Erwirx Allen Forges Joseph Giulio Chiulli Phillip O. Gullo REPRESENTATION For Claimant: Martin Mushkin, Esq., New York, New York For Respondents; No Appearance By Respondents CAS