FEB-10-1334 14:17 FROM NfiSD-RRB ETRftfION-CHICflGQ T0~ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SKCURTIIES DEALERS In the Matter of the Arbitration Charles V. Dwyer Between 12128584141 P.Q2 n Responde Legg Mason Wood Walker, 93-00270 REPRESENTATION For Claimant; Charles V. D^yer ("Dwyer 11 ) was represented by William S, Shepand, Esq. of Houston, Texas. For Respondent: Legg MasontWood Walter, Inc. ("Legg Mason") was represente

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants Tucker Anthony Incorporated John Hancock Clearing Corp. vs. Case # 93-00262 Name of Respondent Klaus Peter REPRESENTATION For Claimants, Tucker Anthony Incorporated and John Hancock Clearing Corp. ("Claimants"), Patrick J. Howley, Esq., in-house counsel. Respondent, Klaus Peter ("Respondent"), was not represented by counse

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Miles Revocable Living Trust, Claimant Vs. Case Number: 01-00923 Merrill Lynch, Pierce, Fenner & Smith, Inc., and Guy B. Knapp, Respondents. Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Claimant Richard Mjles Revocable Living Trust ("Claimant") was represented by Stuart R. Berkowitz, Esquire, of Platke & Berkowitz, LLP, St. Louis, Missouri.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant s) Donald W. VanJdrk 93-00252 Name of Respondent^ Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant Donald W. VanKirk: Richard Brandt, Esq. of Richard K. Brandt and Associates, Sewickley, Pennsylvania. For Respondent Shearson Lehman Brothers, Inc.: Foster Goldman, Esq. of Klett, Lieber, Rooney and Schorling, Pittsb

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimant Chatwin M. Jackson, m, Esq. 93-00251 Name of Respondent D.H. Blair & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1993, Claimant Chatwin M. Jackson, m, Esq., who appeared Pro Se, alleged that in December, 1990, he responded to an advertisement concer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant John N. Boden v. 93-00248 Name of Respondent Prudential Securities, Inc. and Abe Borenstein REPRESENTATION For Claimants: John Post, Esq., of the law'; firm of Post, Polack & Gpodseli, P. A'., RaseJandv^ ;NJ ' : .-• ' y-•'-•- • • • •; : -;^ v ; < i ^ 1 '" " v ;;;\ :i; ' ' f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Printon, Kane Group, Inc. Award vs. #93-00239 Name of Respondents John H. Hale William M. Sapoch Joseph F. Mannello REPRESENTATION For Claimant, Printon, Kane Group, Inc. ("Claimant"): Bernard C. Daley, Esq. of the law offices of Joseph C. Daley located in New York City, New York. For Respondents, John H. Hale, Will

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Piper Jaffray Inc. 93-00238 Name of Respondent Gregory L. Boderman REPRESENTATION For Claimant at the hearing: Joseph W. Anthony, Esq. of Fruth & Anthony, Minneapolis, Minnesota. For Respondent at the hearing: Stephen B. Young, Esq. of Hillstrom Bale Anderson Young, Minneapolis, Minnesota. CASE INFORMATION Statement

— N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Gregg Miller vs. NASD #93-237 Vamp- nf Respondents Prudential Securities Inc. and Cliff Davis REPRESENTATION For Claimant: Nancy G. Kariin, Esq., Schuiman & Miller, Beverly Hills, CA For Respondents: Patricia Fitzpatrick, Esq., Pnidential-Bache Securities, Inc., New York, NY CASE INFORMATION Statement of Claim filed: January 2

N-A.5-D- AWARD NATIONAL ASSOCIATION QT? SECTJR.TTTRS PflTVLERS. — INC >. In the matter of the Arbitration Between Name nf Claimant (s) Willis E. Spitzer Name of. Respondent (s) Advantage Capital Corporation Meryl Azar NASD Arbitration NO. 93-00233 For Claimant: Irwin Stein, Investors Recovery Service, Novato, California For Respondents: James M. Peterson, Esq., Higgs, Fletcher & Mack, San Diego, California CASE INFORMATION St