NATIONAL ASSOCIATION OF .SECURITIES DEALERS, INC CASE #90-02552 AWARD In the Matter of the Arbitration Between Herbert W. & Sue W. Phillips Claimants vs. Morgan Keegan & Co., Inc. Tommy Thompson Respondents CASE SUMMARY Herbert W. and Sue W. Phillips, in a claim filed with the National Association of Securities Dealers, Inc. on September 12, 1990, alleged that Respondent and broker, Tommy Thompson, while employed at Morgan Keegan

NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. CASE f90-02550 AWARD In the Matter of the Arbitration Between Terrehans Communications, Inc. Claimant vs. Pete Lally Richard (Don) Mueller Smith Barney, Harris Upham Co., Inc. Respondents CASE SUMMARY Terrehans Communications, Inc. represented by George J. Kundrat, Esq., Westfield, NJ, in a claim filed with the National Association of Securities Dealers, Inc. on September

N.A.S.D. AWARD NftTICKAL ASSOCIfiTIQT OF SECURITIES DEALERS In the Hatter of the Arbitration Between Name of Eileen W. Truoel 90-02543 Q f ptagnonH< ant< 3) Cheney Financial Assoc. PPG Securities, Inc. Bekhor Securities Corporation WB'KBEi&BrjCRCLUJLBl For Claimant: Jacob K. Clifton, Jr., Esq. - Johnson, Clifton, Larson & Bolin, P.C. For Respcodentr T.Hnrfa cbeoey dba Cbeoey Financial Assoc. - David Dinennan, Esq. For Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between~~ Name of Claimants Patricia A. Kuta Tillie Kuta No. 90-02547 Name of Respondents Shearson Lehman Hutton, Inc. Ronald Schwartz REPRESENTATION OF PARTIES For Claimants: Patricia A. Kuta and Tillie Kuta appeared pro se. For Respondents: Charles A. Valente, Esq. of Altheimer & Gray. CASE INFORMATION Statement of Claim filed: April 4, 1

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS National Anoctatfon of Securitto* DMtar* Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between Janes A. DeRespiris vs Name of 90-02544 Dean Witter Reynolds, Inc. Ferdinand Pineda Heard before: Name Allen Kilik, Esq. Public - Sole Arbitrator Claimant, James A. DeRespiris, represented

N.A.S.D. AWARD NftTICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hazel M. Day Claimant v. 50-02540 G.W. Story & Associates George W. Story Respondents For Claimant: Vincent DiCarlo, Esq., Bartel, Sag, Miller & Tomgren, 300 Capitol Mall, Suite 1100, Sacramento, CA 95814 For Respondent: Stephen F. Boutin, Esq., Boutin, Lassner, Gibson, Perry & Delehant, 455 Capitol Mall, Suite 300, Sacramento, CA 95814-44

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Thomas J. Rosener #90-02539- AWARD vs . Concorde Brokerage Corp, Paul Eisenberg Respondents : CASE SHIMMY In a claim filed with the National Association of Securities Dealers, Inc. on September 20, 1990, Claimant, Thomas J. Rosener who appeared Pro Se, alleged that in March 1989 he received notification that his security positions of 100

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Strother Investment Co., Inc., Strother Film Partners II, a California Limited Partnership, Richard Strother, individually, Richard Strother as Custodian for Troy Strother, and Richard Strother as Custodian for Erica Strother, (Claimants) vs. PaineWebber, Inc., (Respondent) Case Number: 00-04883 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Strother

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS "~ In the Matter of the Arbitration Between Name of Claimant* s^ Arthur R. DiNicolantonio 90-02535 Name nf First Fidelity Capital Corporation Ian R. Hosang For Claimant: Arthur R. DiNicolantonio appeared pro se. For Respondents: First Fidelity Capital Corporation did not appear. Ian R. Hosang appeared pro se. Statement of Claim filed: September 12, 1990 First Supplement to Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama of Sam Letheby 90-02533 Name of RespQiyteni" :f a ) Dean Witter Reynolds, Inc. Diane Rolf smeyer Claimant Samuel J. Letheby appeared nm gg. Respondent Diane Rolfsmeyer appeared and was represented by Steven Speicher Esq. Respondent Dean Witter Reynolds, Inc. and George Easiey was represented by Kurt Mueler and appeared as Dean Witter R