N.A.S.D. AWARD MATIONAL ASSOCTATICN OF SBCOSITTES TTRRTHtfi In the Matter of tbe Arbitration Between Of Cecilia M. flfriinryij C/P S. Gifts to Minors Act and Michael A. ^IlK**! 91-01051 Mama of ReepgedentiaL Janrty Montcrmery Scoct ir.c. Patricia Nuovo Sari Maxfcs Stephaa Waitneight FOOT dadiDB&t: T^V* n aHtmmf n~m^N¥ij]Rl. pro so For RespoDdeots Jarmey iftxitgooeccy Soott, Inc. r Sari Maxks, and Stepben Waitneigf

NASD M A O r\ 7VT.7311 NATICNAL ASSOCIATION OF SECURITIES DEALERS - In the Matter of the Arbitration Between Name of Claimantfs) W. Ray & R. Allen Lyles 91-01049 Name of Responcfeflt (g \ Shearson Lehnen Hat ton r Inc. Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Claimant: Gilbert T. Davis, Esq., of Davis and Brewer. For Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Otto Doornbos No. 91-01044 Name of Respondents --- -jw- Gruntal & Co. r Inc. Kenneth Scriba REPRESENTATION OP PARTIES For Claimant: Paul J. Sussman, Esq. of The Law Office of Paul J. Sussman. For Respondents: Eric Hutner, Esq., Assistant General Counsel, Gruntal & Co., Inc. CASE INFORMATION State

N.A.S.D. AWARD ASSOCEATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Q£ Daniel F. Greeley 91-01043 PaineWebber, IDC, James Grotz For Claimant and Responrtpnt James Grotz: Mark Briol, Esq. and Gregory Wilmes, Esq. of Briol & Wilmes, Minneapolis, Minnesota. For Respondent PaineWebber, Inc.: Joseph F. Generelli, Esq. of PaineWebber, Inc. , Weehawfcen, New Jersey* Respondents PaineWebber, Inc. and Janes Grotz were origin

N.A.S.D. AWARD MATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between p£ Maria Misol, as Custodian for Helen Misol, Elizabeth Misol, Misol and Adrian Misol 91-01042 Q£ pmi[ « niHont (s) R.G. Dickinson & Go. Bill Goodwin For Claimant: Maria Misol, as Custodian for H^L^n Misol, Elizabeth Misol, ra-rmgn Misol and Adrian Misol ware represented by John D. T*iHam r Esq» of Carney, Hudson, Williams, Blac

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John Foxley, Trustee of Alco Spring Industries, Pensions Plans for Hourly Rate and Salaried Employees No. 91-01036 Name of Respondents Oppenheimer & Company REPRESENTATION OP PARTIES For Claimants: Michael T. Hannafan, Esq. of Michael T. Hannafan & Associates, LTD., Chicago, Illinois. For Respondents: Eugene L. Sma

N.A.S.D. AWARD NKTICNAL ASS&WICN OP SBCURJ.1.US5 In the Matter of the Arbitration Between Of toelia Mayer of & Third- Party np|ti»«ta Presoott, Ball & Turben, Inc. Gulstxeam Financial Associates Third-Party Jeffrey Lieungh Arbitration ^^ National Association of Securities Dealers, inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 91-01035 For Claimant: Alfred A. LaSort

N.A.S.D. AWRRD NAXKURL ASSQdAIICfcl OF SECDRJTXES DEALERS In the Matter of the Arbitration Between of M. Jane Hall anrt TgtHn Hall 91-01034 Name of Kirk Aguer For dalmant: Rctoert Verier, Esq. r Weld, Freeland, Cooper and LettDcky, San Francisco, California. For Respondent Sutro anri Gcnpany: Jeffrey J. Cole, Esq. , and Lyrm A. Starr, Esq., Jackson, Tufts, Cole and Black, San Francisco, California For Respondent Aguer: Bruce Brys

Arbitration National Attoctatton of w a c n zunpn Securittaa Oeators, Inc. N.A.S.D. Awiwu NASD Financal Canter ^_^ ,_,^__ 33 Whitehall Street NATICNAL ASSOCIATION OF SECURITIES DERIVES N^ y^ N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between (Tames J. dauss Agency, Inc. 91-01033 Name of Shearson Tffrvmm BsrotiiarSr lac. Alan fn dalnantsr Nb attorney of record. Ftar Respoodents: Daniel T. Pitcli, Esq. of St

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond James & Associates, Inc. ("Claimant") v. Raymond A. Rodriquez ("Respondent") Case Number: 01-01807 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Raymond James & Associates, Inc., hereinafter referred to as "Claimant," was represented by Deborah J. Howard, Esq., of Raymond James & Associates, Inc., St. Petersburg, Florida. Respondent Raymond A. Rodr