Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Dennis C. Gaddy Dennis C. Gaddy, SEP IRA Case No. 01-01817 Names of Respondents A.G. Edwards & Sons, Inc. Parks Brown Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Dennis C. Gaddy ("Gaddy") and Dennis C. Gaddy, SEP IRA ("Gaddy IRA"), hereinafter collectively referred to as "Claimants": Daniel I. Maclntyre, Esq. and Samuel T.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECORHTES DEAIERS In the Matter of the Arbitration Between of Verona Schlueter 91-01164 Q£ Bosworth Incorporated Vfayne Smith Far Claimant: Pro Se. For Respondents : James K . Tangrtrm^ n t Esq. of Dorse/ & Whitney, Minneapolis , MJT Statement of en an™ filed: April ll r 1991. Claimant's Sutmissicn Agreement signed on: April 10 r 1991. Joint Statement of Answer filed

Arbitration ® N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of fjjlaimant William R. Ifantague 91-01161 Name of Pftapfyiriant'. - . -*~ Quick and Reilly, Inc. National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimant: William R. Montague ("Claimant") represented himself. For Respo

N.A.S.D. AWARD ASSOCIATION 00? SBCDRITIES In the Matter of the Arbitration Between Audrey Atkins 91-01156 HHTOB of Respondent Button, IOC. *'-**- daimant, Audrey Atkins was represented by Victoria Graver, Esq. of North & Barren, Phoenix, Arizcoa. Button, Inc. n/k/a Shearson Lehman Brothers, Inc. was represented by Deborah M. Fine, Esq. of Lewis and Boca, Phoenix, Arizona. Statanent of Claim was filed with the NASD on April 11, 1991.

N.A.S.D. JTORD NATIONAL ASSQdA!EECtl OF Mmmi'i'i*** DBAI£RS In the Matter of the Arbitration Between Mama of David L. and Cynthia R. Poss 91-01155 -. -iw Maane of Pflcixcident (s) Rotan MDsle me. For dainant: David L. Poss and Cynthia R* Boss were repceseated by Jamee R. Hancett, Esq., J. R. Hannett & Associates, Austin, Texas* For ReepcDdent: Rotan Mosle, Inc* vas represented by BdNard Werner, Esq., FaineWebber Inoorporated, Weebavdcen,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between . -Hi ! f! MARY LACKIE Claimant and 91-01152 MERRILL LYNCH, PIERCE, FENNER & SMTIH, INC. 'AND BRUCE MERCER - -*~ Respondents Claimant Mary Lackie was represented by Graham Clark, Esq. of Mahoney and Hagberg, Minneapolis, Minnesota. Respondent Iferrill Lynch, Pierce, Fenner & Smith, Inc. was represented by James Itenn, Esq. of Merril

_ rte NATIONAL ASSOCIATION N.A.S.D. AWARD SECUR1TI « DEALERS. INC. NATIONAL ASSOCIATION OF SECUWmES JUN 101994 In the Matter of the Arbitration Between Name of Claimant Randy Brandt 91-01149 Name of Respondents Dean Witter Reynolds, Inc. Dean Witter Capital Markets REPRESENTATION Claimant, Randy Brandt was represented by Andrew S. Friedman, £sq, of Bonnett Fairbourn & Friedman, P.C. of Phoenix, Arizona. Respondent

AMSO N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Aatociatlon of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between Name of Claimants Etose B. Giordano and Linda Grabowski vs. Name of Respondent f s \ Rickel & Associates r Inc. Michael Belsky 91-01142 For Claimant: Pro se. For Respondent: Pro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eli Arieli Name of Respondent/Third Party Claimant No. 91-01141 David A. Noyes & Company. ^ Name of Third Party Respondent/Cross Claimant Gregory J. Kuczora REPRESENTATION OF PARTIES For Claimant: Stanley Yaker, Esq., New York, New York. Neither claimant, nor his counsel appeared at the hearing. For Respondent/Third

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Howard and Pearl Strauss, Claimant v. J.B. Oxford & Company and Michael N. Wintjen, Respondents Case Number: 01-01814 Hearing Site: San Diego, California REPRESENTATION OF PARTIES «, For Claimants: Paul W. Thomas, Esq. Paul W. Thomas & Associates Carlsbad, California For Respondents: Jeffrey S. Kob, Esq. Miller Milove & Kob San Diego, California CASE IN