N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Caldwell 92-04097 Name of Respondent Allan Torrey CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 4, 1992, Claimant John Caldwell, who appeared Pro Se, alleged that he opened an account with Respondent Allan Torrey at Pmdential-Bache Securities, Inc. during mid-March, 199

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dee Cravens, Claimant v. Morgan Stanley Dean Witter, Inc., Respondent Case Number: 00-05028 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Joseph A. Scanlan, Esq. David I. Kornbluh, Esq. Miller, Morton, Caillat & Nevis San Jose, California For Respondent: Gilbert R. Scrota, Esq. Peter J. Drobac, Esq. Howard, Rice Nemerovski, Can

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William and Carol Shopland 92-04096 Name of Respondents Bear Stearns & Co. Inc. Vicky Abrams REPRESENTATION For Claimants William and Carol Shopland ("Claimants"): Gregg P. Tobakin, Esq., of Weiner Lesniak. roi Respondents Bear Stearns & Co. Inc. ("Bear Stearns") and Vicky Abrams ("Abrams"): James H. Hubbert, Esq. of B

NATIONAL ASSnriATTQN Qf SprTmiTTES DRALERS In the Matter of the Arbitration Between n Gordon L. Ritchie M4 «. . ... .. NASD Arbttrttioa No. 92^4095 rrf Franklin Lord, Inc. Richard C. Whfilaa For Claimant; Gordon L. Ritchie, DwriUe, California For Rnpoodeiitt: H Thooas Fehn, Big.* Reldf, Fdin & Shwwin, Loi A CaUftwrna r AfiR Statement of Claim filed: Decembers, 1992 Claimant's Submission Agreement signed: November 30, 1992

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Charles A. Egerton and Frances W.Egerton 92-04087 Name of Respondent(s) Ross A. Smith REPRESENTATION For Claimants, Charles A. and Frances W. Edgerton ("The Edgertons"): Richard W. Groner, Esq. of Snyder, Groner & Schieb, Sarasota, Florida. For Respondent, Ross Smith ("Smith"): Michael C. Addison, Esq., Tampa, Florida.

la the matter of the Arbitration Between Wame of Cls Renee des Tombe ]®&D Arbitration- Ho. 92*04065 Warn* nf ReHnandent_liL Kidder, Peabody 6 Co.,. Inc. Robert B. Dini For cimiw*. S. Gary Varga, Esq. , CWj, Califomi. and William M, Ziering, B«q., San Francisco, California For Re-ponctota -. HillUm H. Phelp., E.q. , Kidd.r , Peabody ft Co- , Inc., LOB Angeles, California Statement of Claim filed: December 3, 1992 Claimant's 3ubmiaaion Agr

PUBLK N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anna Rosen TTEE Anna Rosen Trust 92-04084 Name of Respondents Prudential Securities Inc Neil Goldberg CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 4, 1992, Claimant Anna Rosen TTEE of the Anna Rosen Trust, who appeared Pro Se, alleged that Respondent Neil Gold

-_ N.A.S.D. AWARD MATICMAL A.^SQCIATICM CF SgCTT^TTTgS "gALZ In the matter of the Arbitration Between Name r;f f* 1 . aimanr ( 5 ) Krista Clem NASD Arbitration No. 92-04083 Name of Respondent (s ) Prudential Securities Incorporated James Harrington RBPRgSBMTATION For Claimant: Krista Clem f Lafayette, California For Respondent: Kirsten Hotchkiss, Esq., Prudential Securities Incorporated, New York, New York Stateme

MODIFIED N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Johnson, McKenney & Carr Securities Case # vs. 92-04080 Name of Respondents Kazi A.F.S. Hasan Elton Johnson, Jr. vs. Third-Party Respondent Edward M. Growney, Jr. REPRESENTATION For Claimant: Elton Johnson, Jr., Thomas J. Hanrahan, Esq. For Respondent: J. Edward Meyer, Esq. CASE INFORMATION Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Laila I. Gomaa I Care Anesthesia Services S.C. No. 92-04071 Name of Respondents AMR Securities, Inc. Amr I. Elgindy REPRESENTATION OF PARTIES Laila I. Gomaa appeared on her own behalf, and on behalf of I Care Anesthesia Services S.C. Amr I. Elgindy appeared on his own behalf, and on behalf of AMR Securities, Inc. CASE INFORMATION Statement of Claim fi