Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael A. Jones, Claimant v. Hampton Securities, Inc., Patrick A. Anthony, Capital One Securities, Inc., and Karen E. Fuller Respondents Case Number: 00-04522 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Burke W. Willsey, Esq. Law Office of Burke W. Willsey Pasadena, California For Respondents Hampton Securities, Inc., and Lawrence

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE f90-02048 AWARD In the Matter of the Arbitration Between Irene Deptuck Claimant vs. Kenneth Richards Respondent CASE SUMMARY Irene Deptuck, in a claim filed with the National Association of Securities Dealers, Inc, on July 24, 1990, alleged that Respondent and broker, Kenneth Richards, misrepresented the growth potential of her CEA Laboratory stock and was negligent in managing

/VAST? ^^ • ^T^^*V^ National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard and Mary virgile vs. 90-02043 Name of Respondent Robert Todd Financial Corp. For Claimant: Pro se. For Respondent: Alphonse Mekalainas, Compliance Officer. CASE TNEQRMK

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between Name of Claimant: James J. Campbell vs. Name of Respondents Shearson Lehman Mutton, Inc. Barry Clancy Case # 90-02036 For Claimant: Edward F. Haber, Esq. of Shapiro Grace & Haber. For Respon

N.A.S.D. AMARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jtotter of the Arbitration Betwseri Name Qf National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 R. Brent Smith Name of Responrfcrrf .( & } Stuart James Conpany, Inc. Richard Blackstock 90-02029 For Claimant: Daniel R. Taylor, Jr., Esq. of Petree Stockton & Robinson. For Respondent: J

NATIONAL ASSOCIATION OF SECURITIES DEALERS P INC CASE #90-02025 AWARD In the Matter of the Arbitration Between Robert & Karen Kirschenbaum Claimants vs. Freeman Financial Group Larry Little Respondents CASE SUMMARY Pro Se Claimants, Robert and Karen Kirschenbaum, in a claim filed with the National Association of Securities Dealers, Inc. on July 23, 1990, alleged that Respondent, Larry Little, a representative of Freeman F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gregory R. Miller Claimant Case No. and 90-02020 Kidder Peabody & Co., Inc., Donald Wood and Hugh T. Carney, III Respondents REPRESENTATION OF PARTIES Claimant Gregory R. Miller was represented by Thomas M. Newmark, Esq. of Gallop, Johnson & Newman, St. Louis, Missouri. Respondents Kidder Peabody & Co., Inc., Donald Wood and Hugh T.

N.A.S.D. AWAHD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jtotter of the Arbitration Between William Roberson Vestal Claimant vs. 90-02018 J.J.B. Hilliard, W.L. Lyons, Inc. Respondent PARTIES Claimant William Vestal appeared pro se. Respondent J.J.B. Hilliard p W.L. Lyons, Inc. was represented by Kenneth L. Wagner, Esq. of J.J.B. Hilliard, W.L. Lyons, Inc., Louisville, Kentucky. In a Statement of Claim filed with the National

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Ronald Anderson and Sarah Anderson Names of the Respondents Merrill Lynch, Pierce, Fenner, & Smith, Inc. and Karyn Griffin Case Number: 00-04521 Hearing Site: Albuquerque, New Mexico REPRESENTATION OF PARTIES Claimants Ronald Anderson and Sarah Anderson, hereinafter referred to as "Claimants": Clinton W. Marrs, Esq., of Eastham, Johnson, Mon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Name of Kenneth & Lois MacKichan Name of Shearson Lehman Hutton, Inc. W. Rondini 90-02000 Kenneth A. and Lois D. MacKichan appeared Shearson Lehman Hutton, Inc. and Wilson Ranjjflfc* Kuker, Esq. of Neal Gerber & Eisenberg, Chicago, In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or abo