N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant -. Virginia M. Myers 93-00197 " Name of Respondent Dain Bosworth Incorporated REPRESENTATION For Claimant at the hearing: Richard H. Krochock, Esq. of Rider, Bennett, Egan & Anindel, Minneapolis. Minnesota. For Respondent at the hearing: James B. Lynch, Esq. of Dorsey & Whitney, Minneapolis, Minnesota. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of ri' John Stephens vs. NASD #93-00173 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. David A. Mendoza For Claimant: Irving Pfeffer, Esq., San Francisco, California For Respondents: Thomas L. Taylor, m, Esq., Jones, Bell, Simpson & Abbott, Los Angeles, California CASE INFORMATION Statement of Claim filed: January 18, 1

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richmond Hillcrest & Co., Inc., Claimant v. Robert L. Cirillo, Respondent Case Number: 01-00918 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Danielle J. Tarasen, Esq. Keesal, Young & Logan, P.C. Long Beach, California For Respondent: Robert L. Cirillo, Pro se Pasadena, California CASE INFORMATION Statement of Claim filed: Februa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Joseph V. and Mara Lee Mayer Name of Respondents Chuck Sjostrom and Shearson Lehman Brothers 93-00165 REPRESENTATION OF PARTIES For Claimants, Joseph and Mara Lee Mayer at the hearing: Bruce Pearson, Fargo, North Dakota. For Respondents, Shearson Lehman Brothers and Chuck Sjostrom at the hearing: Andrew Cohen, Esq. of Dorsey & Whitney, Minneapolis, Minnesota.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alan R. Mitchell 93-00163 Name of Respondent First Chicago Investment Services. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 15, 1993, Claimant Alan R. Mitchell, who appeared Pro Se, alleged that Respondent First Chicago Investment Services, Inc. made an unsuitable reco

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant 93-00162 Catherine S. Mitchell Name of Respondent First Chicago Investment Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 15, 1993, Claimant Catherine Mitchell, who appeared Pro Se, alleged that Respondent First Chicago Investment Sendees, Inc. recomm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Fannie Victor and 93-00160 Name of Respondent Prudential Securities, Inc. f/k/a Prudentiai-Bache Securities, Inc. REPRESENTATION OF PARTIES Fannie Victor ("Claimant") was represented by Stuart C. Goldberg, Esq., Austin, Texas Rosemary J. Shockman, Esq. and John N. McKeegan, Esq. of Shockman & McKeegan, Scottsdale, Ari

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITTFS DEALERS In the Matter of the Arbitration Between Name of Claimant Harriet A. Feiner 92-01978 Name of Respondents Prudential Securities Inc Stephen J. Hall REPRESENTATION For Claimant: Barry Smith, Esq., a sole practitioner. For Respondent: David L. Becker, Esq. of Prudential Securities, Inc. CASE INFORMATION Statement of Claim filed: June 12, 1992. Claimant's Submission Agreement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant La Vern Dale Dixon 92-01974 Names of Respondents Dean Witter Reynolds, Inc., Mike Torrence, Jeffrey Shumaker, Rick Cisar, Chris Hasney and Bert Simmon REPRESENTATION Claimant was represented by Shaun T. Gloude, Esq. and William Wedum, Esq. of Littleton, Colorado. Respondents were represented by Joseph E. Mais, Esq.

N.A.S.D. AWARD > /£V,-.j r^ i^^-3U\&;~ NATIONAL ASSOCIATION OF SECURITIES DEALERS ~ ^ : In the Matter of the Arbitration Between Name of Claimant Michael Dillard ^ 92-01973 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION For Claimant at the hearing: Clell Cunningham, Esq. of Miller, Dollarnide, Dawson & Shaw, Oklahoma City, Oklahoma. For Respondent at the hearing: David L Restaino, Esq. of Dean Witter Reynolds, Inc., San