I Arbitration ^^ National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OP SECURITIES DERLERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Iji the J&tter of the Arbitration Between T Name of Claimant Ollie L. Brandon 92-00571 Name of Respondent James C. Dunlap For Claimant Ollie L. Brandon {"Claimant 11 ) : Claimant represented herself. For Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ho Goon Tsang BQL Realty and Management Corp. CASE #92-00570 Name of Respondent Whitehall Securities, Inc. REPRESENTATION For Claimants Ho Goon Tsang and BQL Realty and Management Corjp Steven C. Taub of the law offices of Don Brecker. For Respondent Whitehall Securities, Inc.: Ellen McBride, Esq. of Schreiber and McBr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Name of ClaiTmnts Frank J. and Dorothy E. Thornton 92-00569 of Merrill Lynch, Pierce, Fenner & 3nith, Inc. Howard A. Swart, Jr. Claimants Frank: J. anri Dorothy E. Thornton ( "Claimants ") were represented by Karl C. Wehr, Esq. Respondents Merrill Lynch, Pierce, Fenner & 3nith, Inc. and Howard A. Swart, Jr. ("Respondents") were represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Wayne W. Williams 92-00567 Name of Respondent^ Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant, Wayne W. Williams ("Claimant"), Marc E. Antine, Esq., from the law firm of Roster & Antine. For Respondent, Shearson Lehman Hutton ("Shearson"), R. Scott Henderson, Esq. from the law firm of Bingham, Dana & Gould.

Arbitration National Association of N.A-S.D. JSMfifiD Securities Dealers, Inc. NASD Rnancial Center ASSOCXKnXV OF J-Uj-W l|B>Bg raaupg 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 In the MaLUai of *•**» of dajoHnt uCJOU, < md JUjBBULILB ZSMl 92-00563 Bfaae of Respondents Boxy & Go. David Peters For Claimants John and ELeanore Zawiski ("Claimants 11 ) : Mr. Zawiski appeared for Claimants. For

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SfcOJkiTlKS DEALERS In the Hatter of the Arbitration Between Mame of Claimant Katherine E. 92-00562 Q£ Kidder, Peahody & Co., Incorporated and Stephen P. Dowdney Claimant, Katherine E. nnhan was represented by Frederick D. Hfli Esq. of Helsell, Fettennan, Martin, Todd & HnhMMrwi, Seattle, Washington. Respondents, Kidder, Peabody & Go., Inc. and Stephen P. Dowdney wore represented by William H. Phelp

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00560 AWARD In the Matter of the Arbitration Between A.J. FlaComio Claimant vs. Legg Mason Wood Walker, Inc. Robert Stiles, Jr. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 14, 1992, Claimant A.J. FlaComio, who appeared Pro Se, alleged that Respondents Legg Mason Wood Walker, Inc. and Robert Stil

Arbitration N.A.S.D. AWARD NATICNAL ASSOCIATION OF SBCDRITIES In the Matter of the Arbitration Qf f*1 James R. and Gall S. Dickson Jtonny Plet Barrett Day Securities Inc. National Association of Securities Deaton, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 92-00554 For Claimants, Janes R. and Gail S* Dickson; James R. Dickson. For Respondents, Manny Feit and Barrett Day Securiti

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of the Arbitration Between Margaret R. Roberts Claimant vs CASE #92-00552 AWARD PaineWebber, Inc., : Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 14, 1992, Claimant Margaret R. Roberts who appeared Pro Se, alleged that on February 18, 1986 she opened an account with Respondent, PaineWebber, Inc.,

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael J. Kassel - 92-00550 Name of Fidelity Brokerage Services, Inc. Claimant Michael J. Kassel ("Claimant 11 ) represented himself. Respondent Fidelity Brokerage Services, Inc. ("Respondent") was represented by Michael G. .^harmm, Esq. of the law firm of Summit, Solemn & Feldeanan. Statement of Claim filed on; Februa