N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph J, Hanus, Trustee, F.B.O. Joseph J. Hanus U.D.T. 92-04069 Name of Respondents Eric S. Finkel William A. Maddox, m Bob J. Baran Bachus & Stratton Securities, Inc. REPRESENTATION For Claimant, Joseph J. Hanus, Trustee, F.B.O. Joseph J. Hanus U.D.T. ("Hanus"): pro se. For Respondents, Eric S. Finkel ("Finkel): p

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantisi William David & Derenda Marie Arlington 92-04061 Name of Respondent^) Fidelity Brokerage Services, Inc. REPRESENTATION Claimants William David and Derenda Marie Arlington appeared pro se. Respondent Fidelity Brokerage Services, Inc. was represented by Angela M. Gottsche, Esq., of the law firm of Kutak Rock. CASE INFORMAT

Award NASD Dispute Resolution, Inc, In the Matter of the Arbitration Between: First Union Securities, Inc., Claimant v. Gregory J. Bischoff, Respondent Case Number: 00-05027 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Diane C. Fischer, Esq. Ronald P. Kane, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Gregory J. Bischoff In Pro Per Vista, California CASE INFORMATION Statement of Claim

1 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SFrTTEfTTRS DEALERS. TNC. In the matter of the Arbitration Between Name of Claimant's) Menasce E. Levi and Diane Levi, as Trustees of the Levi Family Trust dated February 12, 1986 NASD Arbitration No. 92-04055 Name pf Respondent(s) Dean Witter Reynolds, Inc. REPRESENTATION For Claimants: Bruce R. Safran, Esq., Sherman Oaks, California For Respondent: Wendy R. Robinson, Esq., Dean Witter Re

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PattieS. Tomlin 92-04050 Name of Respondent Charles M. Clifton ~ ~ CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on December 1, 1992, Claimant Pattie S. Tomlin, who appeared Pro Se, alleged that she first contacted Respondent Charles Clifton on July 20, 1988 when he was assoc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank Paulussen, TTEE/Cold Storage Co., Inc. Pension & Profit Sharing Trust, et al. 92-04049 v. Name of Respondent Hopper Soliday & Co. REPRESENTATION For Claimant: J. Eric Kishbaugh, Esq. of the law firm of J. Eric Kishbaugh For Respondent: John Spelman, Esq. of Klehr, Harrison, Harvey, Branzburg, et al. CASE INFORMATI

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nathan Mantel 92-04047 Name of Respondent Rickel & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 1, 1992, Claimant Nathan Mantel, who appeared Pro Se, alleged that Respondent Rickel and Associates, Inc. misrepresented the safety of a bond he purch

AUti-g 1993 N.A.S.D. AWARDu NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Stanley Grocki Case No. 92-04045 Name of Respondents) Pershing Financial Group William K. Fraser Your Discount Broker, Inc. REPRESENTATION Claimant, Stanley Grocki ("Grodd"): EEJ Sfi. - For Respondents, William Fraser ("Fraser") and Your Discount Broker, Inc. ("YDB") William Fraser of YDB. ^ For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Stephen G. Weiss Stephen L. Blum Name of Resondents Commonwealth Associates 92-04040 REPRESENTATION For Claimant Stephen G. Weiss ("Weiss") and Stephen L. Blum ("Blum"): David M. Lewis, Esq. of the law firm of Mandell, Lewis & Goldberg, P.C., McLean, VA. For Respondent Commonwealth Associates ("Respondent"): David

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant J.M.G. Boreas 92-04035 Name of Respondent F.N. Wolf & Co., Inc. REPRESENTATION For Claimant: J.M.G. Boreas appeared pro se. For Respondent: F.N. Wolf & Co., Inc. was represented by Robert B. Bieck, Jr., Esq., of Jones, Walker, Waechter, Poitevant, Carrere & Denegre, located in New Orleans, Louisiana. CASE INFORMATION St