PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert & Kathryn Wiicox Claimants CASE #92-01965 AWARD vs. Raymond James & Associates Robert R. Gates Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 12, 1992, Claimants Robert & Kathryn Wiicox who appeared Pro Se, alleged that Respondents Raymond James & Assoc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Russell Petro Case # 92-01958 Name of Respondents Yankee Financial Group, Inc. Arthur Rottenstein REPRESENTATION For Claimant, Wolf Haldenstein Adler, Esq. of Freeman & Herz. For Respondents, Thomas J. McCabe, Esq., a sole practitioner. CASE INFORMATION Statement of Claim was filed on June 11, 1992. Claimant's S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marcella Schmidt No. 92-01953 Name of Respondent Lee Sackman REPRESENTATION OF PARTIES For Claimant: Robert J. Long, Esq., of Lynch, Lumber & Wysocki, Antioch, Illinois. . For Respondent: A. Brad Busscher, Esq., Vice President and Senior Attorney, Kemper Securities, Inc. CASE INFORMATION Statement of Claim filed: June 1

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edith S. Hartley vs. 92-01947 Name of Respondents PaineWebber, Inc. Larry G. Tate CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 11, 1992 Claimant Edith S. Hartley, who appeared Pro Se, alleged that in January 1987 after reviewing a summary of her account statement

NA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Asif M. Shakur 92-01940 Name of Respondents Bear Stearns & Company Mayfair Securities Marcos Figueirado Jack Maddock REPRESENTATION Claimant Asif M. Shakur ("Claimant") represented himself. For Respondent Bear Stearns & Company ("Bear Stearns"): Daniel S. Taub, Associate Director of Bear Stearns & Co., Inc. R

N.A.S.D. AWARD In the Matter of tte&bftration Between Jeffrey G. Acton vs. Name of Respondents Edward W. Bohm Robert Shaw Pacific Southern Securities 92-01939 PASR SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 10, 1992, Claimant Jeffrey G. Acton, who appeared Pro Se. alleged that Respondent Pacific Southern Securities, through it's representative. Respondent Edward W. Bohm. sold his shares

N.A.S.D. AWARD NATIONAL .ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Brennan & Moore Profit Sharing Plan ... 92-01937 Name of Respondents Shearson Lehman Brothers, Inc. Richard L. Bailey REPRESENTATION For Claimant: Thomas E. Webb. Esq. of Robshaw, Randaccio & Fessard. P.C. For Respondent: Lawrence M. Ross, Esq. of Shearson Lehman Brothers, Inc. and Richard L. Bailey, Esq. L-f Hurwitz & Fi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. * In the Matter of the Arbitration Between Name of Claimant Grace Z. Ash Revocable Trust --- William J. Ash, Jr. Revocable Trust Russell P. Kramer, Jr. Trustee and 92-01936 Name of Respondents Paine Webber, Inc. Timothy Hager REPRESENTATION OF PARTIES Claimant was represented by William D. Nelson, Esq. of Robinson, Waters, O'Dorisio and Rapson, P.C., Denver, Colorado

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o£ Claimant Levy Markovich 92-01934 Name of Respondents Shearson Lehman Brothers, Inc. Keith Ritz REPRESENTATION For Claimant Levy Markovich ("Claimant") : Glenn Billington, Esq., a sole practitioner. For Respondents Shearson Lehman Brothers, Inc. ("Shearson") and Keith Ritz ("Ritz"): Daniel P. Mascaro, Esq., of Baker & Hostetler.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard M. Elliot, as Trustee of the _-- Elliot Family Trust 92-01931 Name of Respondent Prudential Securities Incorporated REPRESENTATION For Claimant: Richani M. Elliot, as Trustee of the Elliot Family Trust, appeared pro se. For Respondent: Prudential Securities Incorporated was represented by Gabriel Loubier, Esq. of Pr