N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS _ PUBLIC In the Matter of the Arbitration Between Name of Claimantfs'i Michael E. Fareri Vincent D'Angelo Fareri Bros, Inc. 92-01793 f Respondent^ Wayne Grayson Capital Corp. Frank Ravenna REPRESENTATION For Claimants: William Greenberg, Esq. For Respondent Wayne Grayson Capital Coip: Thomas A. Rigilano, Esq. of Gusrae, Kaplan & Bruno. For Respondent Frank Ravenna

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard S. Andrews 92-01792 Name of Respondent Lars B. Greiner Matthew Miller REPRESENTATION Claimant Richard S. Andrews ("Claimant") represented himself. Respondents Lars B. Greiner ("Greiner") and Matthew Miller ("Miller"), collectively referred to as "Respondents" were represented by Gerard J. Kowalski, Assistant General

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Keith L. Kauffman 92-01790 Name of Respondents The Chicago Corporation Paul Greening Michael Purcell Donald Reid Victor Eking REPRESENTATION For Claimant, Keith L. Kaufmann: Donna A. Lavoie, Esq. and Paul W. Coughenour, Esq. of Barlow & Lange. For Respondents, The Chicago Corporation, Paul Greening, Michael Purc

N-A.SJD. AWARD NATIONAL ASSnrTATTQTM HT? P^AI P * S - ™ C - In the matter of the Arbitration Between e of Claii Stanley Abranu, individually and as trustee of che Stanley Abwnw, P.C , Profit Sharing Plan and Tnwi NASD Arbitration No. of Piper, Jaflray & Hopwood* lac, Howard Liebrcick For Claimant; Gary M. Berne, Esq. , Stoll Stall Berne & Lokcing, P.C , Portland Ore. For Respondent; Piper, Jaffray & Hopwood In

N.A.S.D. AWARD MATIONAL ASSOCIATION OF SF.CUPTTTRS DEALERS In the Matter of the Arbitration Between Name of Claimants Lyle T. Cordray and Penny A. Cordray NASD Arbitration No. 92-01785 Name of Respondents Dain Bosworth Incorporated Linda M. Stuart REPRESENTATION For Claimant: Michael G. Hanlon, Esq., Portland, Oregon. For Respondent: Mark A. Turner, Esq., Ater Wynne Hewitt Dodson & Skerritt, Portland, Oregon. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Betty Novak 92-01783 Name of Respondents Prudential Securities Inc Jack Davis REPRESENTATION Claimant: Stephen J. Hopkins, Esq. of Googasian Hopkins Hohauser & Forhan. For Respondents, Prudential Securities, Inc. and Jack Davis: Peter Byer, Esq. of Prudential Securities. Inc. CASE INFORMATION Claimant's Submission A

PUBUC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jeffrey L. Rowers Claimant CASE #92-01781 AWARD vs. Dean Witter Reynolds, Inc. Jack Zager Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 28, 1992, Claimant Jeffrey L. Flowers who appeared Pro Se, alleged that Respondents Dean Witter Reynolds, Inc. and Jack Zager

__ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Bowden, Trustee of the Dean and Faye Bowden Trust vs. NASD #92-01779 Name of Respondents Gerald Doyle Prudential Securities, Inc. For Claimant: Jeff Dennis Fercntz, Esq., Greenbaum & Ferentz, Newport Beach, California For Respondents: Robert H. Logan, Esq., Keesai, Young & Logan, Long Beach, California CASE INFORMAT

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carlie Chin 92-01778 Name of Respondents Royce Park Investments Richard Neuckranz CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 28, 1992, Claimant Carlie Chin, who appeared Pro Se, alleged that Respondents Royce Park Investments and Richard Neuckranz failed to foll

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00904 Chris Pappas, claimant vs. Charles Schwab & Co., respondent. ATTORNEYS: ^~~ Claimant appeared Pro Se, Orange, CA. For Respondents appeared Curt H. Mueller, Esq., in-house counsel, San Francisco, CA. j DATE HLED: February 23, 2001 CASE SUMMARY: Claimant alleged that respondents negligently failed to timely and properly transfer his retirement proceeds, thereby denying him