AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Glenn Berkley and 00-03664 Scottsdale, Arizona Name of Respondent UBS PaineWebber, Inc. Glenn Berkley ("Claimant") was represented by John A. Agostini, Esq., Cain Hibbard Myers & Cook, PC, Pittsfield, Massachusetts and Daniel R. Solin, Esq., Pittsfield, Massachusetts. UBS PaineWebber, Inc. ("Respondent") was represented by Michael S. Kim, Esq. and M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant William D. Blackwood and Donna Blackwood and 93-01681 Name of Respondents Mark Ivan Bass Pennington Bass Equities, Inc. Derand Pennington Bass Inc. REPRESENTATION OF PARTIES William D. Biackwood and Donna Blackwood ("Claimants") were represented by John Lawrence Allen, Esq., Carlsbad, California. Mark Ivan Bass, P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD 93-01661 In the Matter of Arbitration Between Name of Claimant Betty Burfeindt Name of Respondents Shearson Lehman Brothers Inc. n/k/a Smith Barney Shearson, Inc. and Kathy Valentine CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 27, 1993, Claimant Betty Burfeindt, who appeared Pro Se, alleged that Respondent Kathy Va

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard A. Rodriquez 93-01655 Name of Respondents Willard B. Kille III; Entirety, Inc.; Team Financial, Inc. REPRESENTATION For Claimant: Richard A. Rodriquez ("Rodriquez") appeared pro se. For Respondents: Wiliard B. Kille III ("Kille"), Entirety, Inc. ("Entirety") and Team Financial, Inc. were represented by Willard B. Ki

NASD Arbitration No. 93-01649 -_ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECTTRITTES Df&LERS. INC. In the matter of the Arbitration Between Name of Claimant{5} Sylvia Farber Name nf Respondent(s) Dean Witter Reynolds, Inc. REPRESENTATION For Claimant: Philip M. Aidikoff, Esq. and Robert A. Uhl, Esq., Aidikoff & Kesluk, Los Angeles, California For Respondent: Janet T. Epstein, Esq., Dean Witter Reynolds, Inc., San Francisco, California

V . / Kr&TTCTJ&T. ASSOgTATTOq.jfl.P gTrenPTTTEfl Dg&LBgfl. TWO. In the matter of the Arbitration Bet-ween Josephine M* Jedaikin NASD Arbitration NO. 93-01647 of fff% fihearson Lehman Brothers, Inc For Claimants Josephine M. Jedeikin, San Anaaltno, California Far Respondent : Michael S. Danko/ B«q. , Brown & Wood, San Francisco, California Statement of Claim filed: April 23, X993 Claimant's Submission Agreement cignsd: April 13, S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between °f Claimant Alan Torabi NASD #93-01646 va . AWARD Respondents A.G. Edwards & Sons, Inc. James W. Turner REPRESENTATION For Claimant: Paul N. Young, Securities Arbitration Group, Inc. For Respondents: Clay M. Grumke, Esq., A.G. Edwards & Sons, Inc., St. Louis, Missouri. CASE INFORMATION Statement of Claim filed: April 26, 1993

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS nf Claimant Michael F. Gelineau 93-01640 Name of Respondents Hibbard Brown & Co . , Inc . , and Leonard A. McAbee REPRESENTATION OF PARTIES For Claimant, Michael Gelineau, at the hearing: Bruce Baldinger, Esq., Somerville, New Jersey. For Respondents, Hibbard Brown & Co., Inc. and Leonard McAbee, at the hearing: Mark Maddox, Esq. of Coons, Maddox & Kueller, Indianapolis , Indi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David T. Shetterly, (Claimant) v. Bear Stearns Securities Corporation, Pentad Securities Inc. William R. Hoskyns, Fred A. Dietrich, James H. Wilson (Respondents), Case Number: 00-03661 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimant David Shetterly, ("Shetterly"): Joseph J. Zonies, Esq., David Dansky, Esq. and Patrick Carrigan, Esq., Chambers Dansky & Zon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sylvia Kuczek 93-01639 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Joseph Beerbower CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1993, Claimant Sylvia Kuczek, who appeared Pro Se, alleged that on October 18, 1991 Respondent Joseph Beerbower, of Resp