N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFALFRS. INC. Iirthe matter of the Arbitration Between Name of Claimant Southwest Securities, Inc. NASD Arbitration No.92-03861 Name of Respondents Investment Technology Corporation International Amir J. Jaami REPRESENTATION For Claimant: Jerome S. Wade, Esq., Southwest Securities, Inc., Dallas Texas, and Michael D. Donahue, Esq., Donahue & Wells, Los Angeles, California For Responden

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant, Robert W. Baird & Co. Incorporated and Case Number: 00-05004 Respondents, Hearing Site: Troy, Michigan Patrick Hundley Wendy Hundley Counterclaimant, Wendy Hundley and Counterrespondent, Robert W. Baird & Co. Incorporated Third Party Claimant, Wendy Hundley and Third Party Respondent, Bernard Anderson __ REPRESENTATION OF PARTIES

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., Claimant vs. Kyung W. Lee, Respondent. Case Number: 00-00506 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Charles Schwab &. Co., Inc. ("Schwab"), hereinafter referred to as "Claimant": Richard A. Karoly, Esq., Charles Schwab & Co., Inc., San Francisco, California Respondent, Kyung W. Lee, hereinafter referred to as "Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph Hickey 92-03860 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant Joseph Hickey: Michael Samuels, Esq. of the firm Kresch & Kresch. For Respondent Shearson Lehman Brothers, Tnc.: Casey Baum, Fscr CASE INFORMATION Statement of Claim filed: November 13, 1992. Claimant's Submission Agreem

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cla Richardo B. Zamora 92-03859 Name of Respondent Shearson Lehman Brothers, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 16, 1992, Claimant Richardo B. Zamora, who appeared Pro Se, alleged that on or about January 16, 1989 he opened a full service brokerage account

N.A.S.D.,INC. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter ot the Arbitration Between Name of Claiman^ Herbert & Jean Levy JTWROS 92-03857 Name of Respondents Prudential Securities, Inc. Robert A. Friedmar CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 16. 1992, Claimants Herbert & Jean T< evy, who appeared Pro Se, alleged that Respondent Robert A. Friedmar, while emplo

N.A.S.D. AWARD p(jni ,„ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Betty L. Rouse 92-03856 Name of Respondent Lawrence H. Butler CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 16, 1992, Claimant Betty L. Rouse, who appeared Pro Se, alleged that Respondent Lawrence H. Butler of the firm Cruttenden & Co., misrepresented the quality of

N.A.S.D. AWARD APR 2 9 1994 UL3I. NATIONAL ASSOCIATION OF SECLHITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Ronald C. Timm Name of Respondent(s) Tom Adkins J.W. Gant and Associates, Inc. 92-03852 REPRESENTATION • For Claimant: Ronald C. Timm ("Timm") appeared, Pro Se. For Respondents: Tom .Adkins ("Adkins")appeared Pro Se. and J.W. Gant and Associates, Inc. ("Gant") did not enter an appea

92-03851 Stipulated AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert E. Glazier Name of Respondent Kemper Securities. Inc. REPRESENTATION OF PARTIES For Claimant: Marty Schwartz. Esq. of Coffield, Ungaretti & Harris. Chicago, Illinois. For Respondent: Christopher!. Barber, Esq. of Kemper Securities, Inc., Chicago, Illinois. CASE INFORMATION Amended Statement of Claim filed

V.A.S.D- AWARD NATIONAL ASSOCIATION OF SEClTRlTmS DEALERS In the Matter of the Arbitration Between of (TlT Nancy A. Toomey NASD Arbitration No. 92-03849 Name gf Respondents Pearson Lehman Brothers, Inc. Donald C. Shaw REPRESENTATION For Claimant: Walter L Middlecamp - Portland, Oregon For Respondents: George O. Richardson, in, Esq. - Shearson Lehman Brothers, Inc. - New York, New York CASE INFORMATION Statement of Claim f