NASD Arbitration No. 95-00628 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Albert F. Triller and Susan M. Triller Name of Respondent^ Paine Webber, Inc., Joel Schwartz and Larry Wood REPRESENTATION For Claimants: Victor J. Daniels, Esq. Encino, California For Respondents: Kathryn L. Krebs, Esq. Paine Webber, Inc. Los Angeles, California CASE INFOR

Case Number 95-00627 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Anthony and Ernestine Spirito Name of Respondent Prudential Securities Inc REPRESENTATION For Claimant: Gregory G. Campisi, Esq Roseland, New Jersey For Respondent: Gerard J. Kowalski, Esq. New York, New York CASE INFORMATION Statement of Claim was filed on February 7, 1995 Claimant's S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Helen G. Anderson 95-00626 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Judith Ann Zaleski RTCPRFSKNTAHON For Claimant: Ted B. Edwards, Esq. of Smith, Mackinnon, Harris, Greeley, Bowdoin < Sc Edwards, P. A., Orlando, FL. For Respondents: Gregory J. Kelly, Esq. of Akerman, Senterfitt & Eidson, P. A., Orland

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Principal Financial Securities, Inc. and 95-00621 Name of Respondent Rauscher Pierce Refsnes, Inc. Glenn Dean Childres Jerry Lee Travers REPRESENTATION OF PARTIES Principal Financial Securities, Inc. ("Claimant") was represented by William J. Albright, Esq., Figari & Davenport, L.L.P., Dallas, Texas and Brian J. Hurst, Es

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants Maurice M. Alexander, MMA Cattle Company, Los Seis Partnership and Lois Seis Partnership and Case Number 95-00618 Names of Respondents Smith Barney Shearson, Inc., Rauscher Pierce Refsnes, Inc. and Mark Platt REPRESENTATION OF PARTIES Maurice M. Alexander, MMA Cattle Company, Los Seis Partnership and Lois Seis P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rosalind Mindes 95-00611 Name of Respondent Griffin Financial Services Home Savings Of America CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 7, 1995, Claimant Rosalind Mindes, who appeared Pro Se, alleged that Respondents Griffin Financial Services ("Griffin") and Home S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leah Galles Fromer, (Claimants) v. Wells Fargo Brokerage Services, LLC and Ethan J. Wiggins, (Respondents) Case Number: 00-03834 Hearing Site: Albuquerque, New Mexico REPRESENTATION OF PARTIES Claimant Leah Galles Fromer ("Fromer")- Thomas J. Schuchert, Esq., The Bregman Law Firm, P.C., Albuquerque, New Mexico. Respondent Wells Fargo Brokerage Services, LLC ("Wells Far

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Samuel M. Wiles, D.D.S., P.C., Money Purchase Pension Plan 95-00610 Name of Respondents James W. Gmbb J.C. Bradford & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 7, 1995, Claimant Samuel M. Wiles, D.D.S.,P.C., Money Purchase Pension Plan ("Claimant"), through i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Douglas E. Thielen 95-00609 Name of Respondent * Earl J. Rusnak In a claim filed with the National Association of Securities Dealers, Inc. on February 7, 1995, Claimant Douglas £. Thielen (''Claimant 1 '), who appeared Pro Se, alleged that Respondent Earl J. Rusnak ("Respondent"), failed to follow his written instructio

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph G. Reynolds Award No. vs. 95-00607 Name of Respondent Waterhouse Securities Inc. REPRESENTATION Claimant, Joseph G. Reynolds ("Claimant"), represented himself at the hearing. For Respondent Waterhouse Securities Inc., ("Respondent"), Robert F.X. Bohrer First Vice President of Waterhouse Securities located in New York