Feb-Q7-2003 Q9:48arn From-NASDA DISPUTE RESOLUTION T-185 P.DQ2/010 F-472 Aw ard NASD Dispnte Resolution In the Matter of the Arbitration Between: Georgia Braverman, Claimant v, Jerry StuSreaUCZar.i Union Bank of California Invebnr.^r.i Services, Inc. 3 Respondents Case Number: 00-05132 Hearing Site: Los Angeles, California REPRESENTATION OFPARTIES For Claimant: For Respondents: Edward W. Russey, III, Esq. Oswald & Yap Irv

SENT BY: 11-12-98 ; 8:21AM ;NASD ARBITRATION DPT^ 12122085165;* 2/24 AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Linda Braun v. NASD Regulation, Inc. Arbitration No. 96-03058 Name of Respondents H. J, Meyers & Co., Inc. flk/a/ Thomas Associates, Inc., Chatfield Dean & Co., Inc., Shelley Jones» Frederick Wiegand, Jr., and Jack Vink REPRESENTATION F

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Anne N. Perry and 96-03057 Name of Respondent D,E. Frey & Co., Inc. David Ramsdale REPRESENTATION OF PARTIES Anne N. Perry ("Claimant") was represented by William D. Nelson, Esq., Slivka Robinson Waters & O'Dorisio, P,C., Denver, Colorado. , D.E. Frey & Co., Inc. ("Respondent D.E. Frey") was represented by Mark J. Appletojv

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Olde Discount Corporation 96-03056 Name of Respondent Rachel Vance REPRESENTATION For Claimant Olde Discount Corporation ("Olde" or "claimant") appeared Robert S. Anderson, Esq. of the firm Olde Discount Corporation located in Detroit, Michigan. Respondent Vance did not enter an appearance in this ma

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Bernard Turkewitz 96-03055 Name of Respondents Smith Barney Inc. REPRESENTATION Claimant Bernard Turkewitz ("Claimant") appeared Pro-Se. For Respondent Smith Barney, Inc. ("Respondent") appeared, Nicole L. Felton, Esq., in-house-counsel located in New York, New York. CASE INFORMATION The Statement of Claim was received on July 17, 1996. Claimant's Submission

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph F. Hunt 96-03053 Name of Respondent Merrill Lynch Government Securities, Inc REPRESENTATION For claimant Joseph Hunt ("claimant") appeared Richard C. Raymond, Esq., of the law offices McMillan, Constabile, Maker, Murphy & Raymond, LLP located in Larchmont, N&iv York. For respondent Merrill Lynch Government Securit

N.A.SJ>. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-03052 Rick O'Bryan, claimant v. RAS Securities Corp., David S. Prince and Jeffrey S. Nussbaum, respondents. ATTORNEYS: Claimant Rick O'Bryan appeared pro se and is located in Los Angeles, CA. For Respondent RAS Securities Corp, appeared Sheldon Gopstein, Esq. located in New York, NY. For Respondent David S. Prince appeared Steven N. Fuller located in Bosto

N.A.S.D. REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Prudential Securities Inc 96-03051 Name of Respondents Thomas Keyes For Claimant Prudential Securities, Inc. ("Claimant") appeared Christopher Freeze, Esq., in-house counsel for Prudential Securities, Inc., located in New York City, New York. For Respondent/Counterclaimam Thomas Keyes ("Respondent") appeared Ralph Gant, Esq., located in New York City, New York.

Name of Claimant Dean Witter Reynolds Inc. 96-03050 Name of Respondent Jeffrey Ansted REPRESENTATION For claimant Dean Witter Reynolds Inc. ("claimant") appeared Ralph P. Schiavo, Esq., Vice President and Senior Attorney of Dean Witter Reynolds Inc. Respondent Jeffrey Ansted ("respondent") appeared pro se. CASE INFORMATION Statement of Claim was filed on July 15, 1996. Claimant's Submission Agreement was signed on July 12, 1996. Statemen

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. 96-03046 Name of Respondent Robert S. Evans REPRESENTATION For claimant Dean Witter Reynolds, Inc. ("claimant") appeared its representative and in-house counsel Ralph P. Schiavo, Esq. Respondent Robert S. Evans ("respondent") did not enter an appearance at the evident