N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dolores J. Desmond Name of Respondents PaineWebber, Inc. Timothy John Sheefaan 93-01881 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 11, 1993, Claimant Dolores J. Desmond, who appeared Pro Se, alleged that in January 1992 Respondent Timothy Sheehan of Respondent firm PaineWe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard G. Hawks 93-01879 Name of Respondent Hamilton Investments. Inc. REPRESENTATION OF PARTIES For Claimant at the hearing: William C. Murphy, Esq. of Murphy, Hupp, Foote, Mielke, & Kinnaily, Aurora, Illinois. For Respondent at the hearing: Rosemarie J. Guadnolo, Esq. of Horvath & Lieber, Chicago, Illinois. CASE INFO

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter A. Spoehr 93-01878 Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. CASE SUMMARY In a claim Hied with the National Association of Securities Dealers, Inc. on May 11, 1993, Claimant Peter A. Spoehr, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc., through its registered

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Corinne Mattioli vs. Award NASD #93-01872 First Investors Corporation Carlos Combest REPRESENTATION For Claimant: Reed H. Bement r Esq., San Francisco, California. For Respondents: Lisa L. Ferneau, Esq., Kirkpatrick & Lockhart, Washington , D . C . CASE TMTPQPMATTQtT Statement of Claim filed: May 11, 1993 Amendment to Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimant Nathan Lilienthal 93-01871 Name of Respondent Shearson Lehman Brothers, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 10, 1993, Claimant Nathan Lilienthal, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, Inc. charged him a $50.00 account tee without ev

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant NASD Arbitration No. 93-01868 Cindy Harbarger Graves v. Name of Respondents Dean Witter Reynolds, Inc. Celia Taylor REPRESENTATION For Claimant: Richard J. Pinto, Esq., Capistrano Beach, California For Respondents: David Restaino, Esq., Dean Witter Reynolds, San Francisco, California CASE INFORMATION Statement

N.A.S.D. A\VARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Betty Joneschild 93-01867 Name of Respondents Shearson Lehman Brothers, Inc., n/k/a Smith Barney Shearson, Inc.; Michael Perez REPRESENTATION For Claimant: Betty Joneschild ("Joneschild") was represented by Thomas L. Popejoy, Esq. of the Popejoy Law Offices, located hi Albuquerque, New Mexico. For Respondents: Shearson Leh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) George B. Hopping Name of Respondents) Shearson Lehman Brothers. Inc. DonaJd James Rentz 93-01866 REPRESENTATION For Claimant: Peter J. Karabas, Esq. of Abramson & Fox, Chicago, IL. For Respondents Shearson Lehman Brothers. Inc. and Donald James Rentz: Linda R. Alpert, Esq. of Smith Barney Shearson, Inc., New York, NY.

.06/19/02 WED 09:28 FAX NASD REGULATION 1016 AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant John E. Storheim, Jr. and 00-03632 Phoenix, Arizona Name of Respondent Scottsdale Securities, Inc. REPRESENTATION OF PARTIES John E. Storheim, Jr. ("Claimant") was represented by John J. Miller, Esq., Law Offices of John J. Miller, P.C., Kansas City, Missouri, and Tracy Pride Stoneman, Esq., T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Owen Cowitt 93-01865 Name of Respondents J. Gregory & Company, Inc. William F. Kern, Jr. REPRESENTATION For Claimant Owen Cowitt ("Cowitt"): Steven B. Getzoff, Esq. of the law firm of Lester, Schwab, Katz & Dwyer. For Respondents J. Gregory & Company, Inc. and William F. Kern, Jr. ("Respondents"): Jeffrey S. Rosen, Esq.