N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert C. Wagner 95-03319 Name of Respondents Joseph J. Mandaro Investors Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July II, 1995, Claimant Robert C. Wagner, who appeared Pro Se, alleged that he held account URT-010159-1 with Respondent Investors Associates,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: National Planning Corporation, Claimant v. William Dean Sikes, n, Respondent Case Number: 01-01027 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Gerry Gunderson, Esq. National Planning Corporation Bismark, North Dakota For Respondent: William D. Sikes, II In Propria Persona Cathedral City, California CASE INFORMATION Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Huntington Investment Company 9503318 Name of Respondents © National Association of Securities Dealers, Inc. David L. & Tana L. Hendrix All Rights Reserved CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 11, 1996, Claimant, The Huntington Investment Co. ("Claimant"), throu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas J. Dwyer 95-03317 Name of Respondent Cohig & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July II, 1995, Claimant Thomas J. Dwyer ("Claimant"), who appeared Pro Se, alleged that Respondent Cohig & Associates, Inc. f/k/a Kober Financial Corp. ("Respondent"), c

N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gwen Pike 95-03316 Name of Respondents Paine Webber, Inc. John C. Lester, Jr. John C. Lester CASE SUMMARY In a claim filed with the National Association of Securities Dealers, IDC. on July 11, 1995 Claimant Gwen Pike ("Claimant"), through her representative and counsel, Janice L. Innocenzi of Titus, Bueekner & Berry, P.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between: HUGH T. BURNS, Claimant, OPPENHEIMER & CO., INC., Respondent. Consolidated with WILLIAM J. FUESS, Claimant, v. OPPENHEIMER & CO., INC. Respondent. 'National Association of Securities DcaJcK. l nc AIl Rights Reserved CONSOLIDATED CASES NO. 9503307 and NO. 95-03308 REPRESENTATION OF PARTIES Claim

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stephen C. Shalinsky, Claimant, v. No. 95-03303 General securities Corp., Respondent REPRESENTATION OF PARTIES Stephen C. Shalinsky ("Claimant") was represented by Daniel L. Goldberg, Esq., St. Charles, Missouri. General Securities Corp. ("Respondent") was represented by Jane L. Stafford, Esq., of Watson & Marshall, Kansas City, Missouri.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jack I. Schnitzer Name of Respondent James W. Bullard.. Jr. 95-03298 © National Association ol Securities Dealers, Inc. All Rights Reserve; REPRESENTATION For Claimant: Jack I. Schnitzer ("Schnitzer") appeared pro se. For Respondent: James W. Bullard, Jr. ("Bullard") did not appear. CASE INFORMATION Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anita K. Winkis f/k/a Anita K. Wheeler, 9503297 ^(910 Id- © National Association or Securities DcaJrvr '— All Rights Reserved Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. and Blaine M. Goldberg REPRESENTATION For Claimant Anita K. Winkis f/k/a Anita K. Wheeler ("Winkis"): Richard J. Winkis,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Faye Taylor and 95-03293 Name of Respondent John C. Ackerman REPRESENTATION OF PARTIES Faye Taylor ("Claimant") appeared pro se. John C. Ackerman ("Respondent") appeared pro se, CASE INFORMATION The Statement of Claim was filed on or about July 7, 1995. Submission Agreement of Claimant Faye Taylor was signed on June 3