N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant William F. Hill as administrator of the Estate of Martha Clarke vs. Case # 92-00420 Name of Respondent Alex Brown & Sons, Inc. REPRESENTATION For Claimant, Will F. Hill as administrator of the Estate of Martha Clarke ("Claimant"), Robert J. Lane, Jr., from the law firm of Hodgson, Russ, Andrews, Woods & Goodyear. For Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Case No. 92-00419 Patty J. Donatelli Name of Respondents Smith Barney Harris Upham & Co., Inc. Frederick G. McKeel Timothy R. Spang REPRESENTATION For Claimant, Patty Donatelli ("Donatelli"): Kalju Nekvasil of Goodman and Nekvasil, P.A.. For Respondents, Smith Barney, Harries Upham & Co. Inc. ("Smith Barney"), Frederick

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond A. and Viola M. Chesnutt JTWROS and Raymond A. Chesnutt, Claimants v. Edward D. Jones and Co., L.P., Respondent Case Number: 01-00871 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES For Raymond A. and Viola M. Chesnutt JTWROS, and Raymond A. Chesnutt, hereinafter referred to as "Claimants": Raymond A. Chesnutt, Raleigh, North Carolina. For Edward D.

N.A.S.D. AWARD C . NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Larry F. Grooms and 92-00417 Name of Respondents Sunpoint Securities, Inc. and Van Lewis, III REPRESENTATION OF PARTIKS Claimant appeared pro se. Respondent Van Lewis, III appeared pro ae and on behalf of Sunpoint Securities, Inc. CASE INFORMATION The Statement of Claim was filed on or about February 4, 1992.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Keith M. & Lori B. Nickoloff 92-00415 Name of Respondents Dean Witter Reynolds Inc. Jack S. Gilbert REPRESENTATION For Claimant: Keith M. Nickoloff. For Respondent: Kathleen Kaczor, Esq. of Damon and Morey. CASE INFORMATION Statement of Claim filed: February 4, 1992. Claimant's Submission Agreement signed on: Januar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Generoso Pope, in 92-00413 Name of Respondents Bear Stearns & Company Sloate, Weisman, Murray & Co., Inc. REPRESENTATION Claimant Generoso Pope, HI ("Claimant") was represented by Jeffrey W. Herrmann, Esq. of the law firm of Conn Lifland Pearlman Herman & Knoff. Respondents Bear Stearns & Company, Inc. ("Bear Stearns") and

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Viva J. Martin and James E. Bryant Claimants vs. Garrett L. Farnsworth Jeff Chatfield Respondents CASE #92-00405 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 3, 1992, Claimants Viva J. Martin and James Bryant, who appeared Pro Se, alleged that on July 24, 1990 Respondent

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between First City, Texas Claimant Award vs. Kemper Securities Group, Inc., and Selina M. Moriarty Respondents Case #92-00403 Case Summary In a claim filed with the National Association of Securities Dealers, Inc., on February 3,1992, claimant FIRST CITY, TEXAS, by and through Dennis Hansen, Assistant Vice President and Trust Officer, made th

N.A.S.D. AWARD \ NATIONAL ASSOCIATION OF SECURITIES DEALERS \ In the Matter of the Arbitration Between Name of Claimants Edward & Reine Penzer vs. Case #92-00400 Name of Respondents Advest, Inc. Gruntal & Co., Inc William Kravitz REPRESENTATION For Claimants, Edward & Reine Penzer, ("Claimants") Lawrence A. Steckman, Esq., from the i law firm of Camhy Karlinsky & Stein. j For Respondent, Gruntal & Co., Inc. ("Gruntal") and William Kr

J PUBLIC N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Mary Elmasry Elmasry Investment Club 92-00399 Name of Respondent^ Advest, Inc. Gruntal & Co., Inc. William Kravitz REPRESENTATION For Claimants: The Claimants appeared pro se. For Respondents Gruntal & Co., Inc. ("Gnintal") and William Kravitz ("Kravitz") in connection with any allegations concer