N.A.S.D. AHAKD NATIONAL ASSOCIATION OF SECURITIES raaTJgpg In the Matter of the Arbitration Between Of B.F. Kelley, Jr., individually and as Trustee under the Will of Baa F. Kelley, , and Mildred L. Kelley 91-03187 - - #*• Name of PaineWefcber, inc. and William B. Michaels, Jr. For Claimants: Janes M. Sturdivant, Esq. and Timothy Crimpy, Esq. of Gable & Gotwals, Tulsa, Cfclahana. For Respondent PaineWefctoer, Inc: Edward Werner,

N.A.S.D. AWARD HATICNAL ASSOCIATION OF SECURITIES DEALERS of Claimant (s) ) = BB = S ^ ) Jill Pando, as trustee ) ) Case No. 31-03182 ) Name of Respondent (s) ) ======*====^ } Prudent ial-Bache Securities Inc. ) Louis Bitfard Wblletweber ) For Claimant, Jill Pando, Trustee ("Panda") : Susan Yoffee, Esq. of Planing, Haile, Shaw & Gundlach, P. A. For Respondents, Prudential Securities, Inc. ("Prudential") and Louis

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ronald & Kathryn Johnson Claimants vs. Shearson Lehman Brothers, Inc Kevin Burns Respondents CASE #91-03180 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 10, 1991, Claimants, Ronald & Ka'thryn Johnson, who appeared Pro Se, alleged that Respondent, Shearson Lehman Brothers,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, In the Matter of the Arbitration Between ," Name of Claimant J Michael Skurich ^ ^ , ^ 91-03179 and. "" ••"•*"•*>»•"••'•••• ..• ...—— Name of Respondent — Lawrence J. Meis * ^ REPRESENTATION OF PARTIES. Claimant Michael Skurich was represented by Noel Guardi, Esq., Denver, Colorado. Respondent Lawrence J. Meis appeared pro se. CASE INFORMATION The Statement of Claim was f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rafael Perez Garcia 91-03177 Name of Respondents Dean Witter Reynolds, Inc.; Ben Moses REPRESENTATION For Claimant: Rafael Perez Garcia was represented by Walter T. Weathers, Esq. of Houston, Texas. For Respondents: Dean Witter Reynolds, Inc. and Ben Moses were represented by Wendy R. Robinson, Esq. of Dean Witter Reyno

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harry S. and Edna S. Willey Case No. 91-03173 Name of Respondents U.S. Clearing Corp. Thomas Wiseman John Weir REPRESENTATION For Claimants, Harry S. and Edna S. Willey ("the Willeys"): Louis B. Voceile, Jr., Esq. of Clem, Polackwich & Voceile. For Respondent, U.S. Clearing Corporation ("U.S. Clearing"); Richard One of

K.A.S.D. AWARD NATICNAL ASSOdaiTCN OF SBCDRTnES BEATERS In the Matter of the Arbitration Between of Mil tan. Grossman vs. NASD #91-03170 NagPB Of P«-»m " • iHani-g Prudental Securities, For claimant: M. Q For Sespoodent: J. Capezzuto, Esq. , of Prudential Securities, Inc. , New- York, New Yorfc. Statement of ^«-*" filed: October 10, Claimant's Submission Agreement signed: October 30, 1991 Statement of Answer filed by Respondent on: J

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Henry Bates, Claimant v. Case Number: 00-5248 Pmdential Securities, Inc., Michael Kanehl, and Mark N. Blackwell, Respondents. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Henry Bates, hereinafter referred to as "Claimant": Fred L. Kretschmer, Jr., Esq., Moss, Henderson, Blanton, Lanier, Kretschmer & Murphy, P. A., Vero Beach, Florida.

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, _NC. CASE #91-03167 AWARD In the Matter of the Arbitration Between Anne 0. Foote Claimant vs . Dean Witter Reynolds, Inc. John Parlett Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 10, 1991, Claimant, Anne 0. Foote, through her representative Amadeo R. Halili, alleged that Respondent, Dean Witter Reynolds, I

N.A.S.D. AWARD HATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joyce Breach vs. Name of Respondents Gruntal & Co., Inc. Christopher Gautrau Case # 91-03164 National Association of Securities Dealers. Inc. NASD F'-ancial Center 33 Whitenat! Street New YorK. N.Y 1 0004 FAX (212)653-4389 KstTceaarfrma.-j.ClT For Claimant, Joyce Breach, Gerald E. Marcus, Esq