Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John. R. Rohner and Joan R. Rohner Trust A, John R. Rohner and Joan R. Rohner Trust B, John R. Rohner IRA, and Barbara M. Rohner, Claimants v. Miller & Schroeder Financial, Inc. and Mark Augusta, Respondents Case Number: 00-04825 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Arthur S. Leider Investors Arbitration Specialists, Inc. San

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC CASE 190-02231 AWARD In the Matter of the Arbitration Between Nathaniel S. Pirchesky Claimant vs . Timothy Notaro Respondent CASE SUMMARY Nathaniel S. Pirchesky, in a claim filed with the National Association of Securities Dealers, Inc. on August 9, 1990, alleged that Respondent Timothy Notaro recommended an unsuitable investment that was not according to his expressed objectives. H

N.A.S.0. AWARD NRTICNRL ASSOdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Wan* of Cl a-brant (a) ) ) J. dark Hamilton, LOS ) dark Hamilton, D.D.S., P.A. ) ) ) Case No. 90-02227 ) Name of Respondent (s? } ———— fc —— ) Prudential-Bache Securities Inc. ) Quentin G. Biscboff } KBflagagf.ua.-JXM For Claimants, J.dark Hamilton ("Hamilton") and dark Hamilton, D.D.S., P.A. ("Hamilton P.A.")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #90-02223 AWARD In the Matter of the Arbitration Between Robert A. Burgess Claimant vs. Shearson Lehman Hutton, Inc. Respondent CASE SUMMARY Robert A. Burgess, in a claim filed with the National Association of Securities Dealers, Inc. on August 14, 1990, alleged that Respondent made an unauthorized purchase for his account which resulted in a debit balance therein. Respondent,

N.A.S.D. ANAKD NKTICNAL ASSOCLAEKW OF SldJUkiTlhtJ DEftLERS In the Matter of the Arbitration Between Mams of Claimant (s) Annie Merrill Scarborough 90-02222 Name of Remorrient(s) Legg Mason Wood Walker, Inc. d/b/a Legg Mason Howard Weil, Inc., f/k/a Howard, Weil, labouisse, Freidrichs, Inc.; Craig lang For Claimant: Annie Merrill Scarborough UBS represented by Roger V. Davidson, Esq. of Davidson & Associates, P.C., Boulder, Colorado.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Gene Kipp Claimant and #90-02220 Piper, Jaffray & Hopwood, Inc. and Corbett Griffin Respondents REPRESENTATION OF PARTIES Claimant, Michael Gene Kipp, appeared, and was represented by Loren A. Nalean, Esq. Respondent, Corbett Griffin appeared, and was represented by Kimberly J. Walker, Esq. Respondent Piper, Jaffray & Hopwood, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f ) Name of Claimant (a | ) ) ) ) Gary Aboff ) ) Case Mo. 90-02214 Andrew Reagan Heard before the Arbitration Panel: Patricia A. Shut), Esq. Public Tterrence W, Grant Industry Judy Avey Public This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on Aug

® N.A.S.U. AWAKU NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of n Valdee B. Soule, individually & as Trustee of the Valdee B. Soule Family Trust nf Prannrlmnrt- J «* ^ Prudential Securities inc. Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Uuderdale, Florida 33301 (305) 522-7391 Case No. 90-02213 Heard before the mem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant f s 1 Jay F. and Loretta Gunderson 90-02212 Name of Respondent ( s ) Private Investors Cartel Ltd . Tim Peck REPRESENTATION Claimants, Jay F. and Loretta Gunderson were Pro Se. Respondent, Private Investors Cartel Ltd., was represented by David A. Zisser of Berliner Boyle Kaplan Zisser & Walter. Respondent, Tim Peck, di

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Ten W. Bergstrom Claimant and 00-04823 Dallas, Texas Lincoln Financial Advisors Corp., Lincoln National Life Insurance Company, Lincoln Life & Annuity Distributors, Inc., Mike Hemp Respondents REPRESENTATION OF PARTIES Ten W. Bergstrom ("Claimant") was represented by Charles C. Sanders, Esq., Law Offices of Charles C. Sanders, located in Austin, Texas. Linco