PUBLIC i N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. 93-01636 SangB. Lee , Stflllffer CASE SUMMARY la a claim filed with the National Association of Securities Dealers, Inc. on April 23, 1993, Claimant PaineWebber, Inc. by and through their in-house counsel Garry J. StegeJand, Esq., alleged that oo or about August 27, 1990, Respondent Sang B. Lee opened an account w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES PJW FKS. TNC ' In the matter of the Arbitration Between Name of Claimant Toluca Pacific Securities Corp. NASD Arbitration No. 93-01622 Name of Respondent Ted John Heitzman REPRESENTATION For Claimant: Pster Blowitz - Toluca Pacific Securities Corp. - Toluca Lake, Ca. For Respondent: No Appearance CASE INFORMATION Statement of Claim filedrApril 23, 1993 Claimant's Submissio

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ann T. Kilbride Award vs. 93-01615 Name of Respondent Fidelity Investments REPRESENTATION For Claimant, Ann T. Kilbride ("Claimant"), Paul Murphy, Esq., located in Chelsea, Massachusetts. For Respondent, Fidelity Investment ("Respondent"), Richelle S. Kennedy, Esq., from the law firm of Bingham, Dana & Gould, located in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Saul Robbins Reina Robbins Kenneth Adelberg Morton Adelberg 93-01601 Name of Respondents Butcher & Singer, Inc. Robert P. Kiep, III REPRESENTATTON For Claimants Saul Robbins, Reina Robbins, Kenneth Adelberg and Morton Adelberg (collectively "Claimants"): Mr. Stuart J. Guber of Berger & Montague, P.C., Philadelph

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES PPAT.FRS Name of Claimant David Brandt No. 93-01600 Name of Respondents Hanson & Company, Inc. Ranson Capital Corporation REPRESENTATION OF PARTIES For Claimant: Timothy H. Girard, Esq., of Woner, Glenn, Reeder, Lowery & Girar Topcka. Kansas. For Respondents: Jack Scott Mclnteer, Esq., of DePew, Gillen & Rathbun, Wichit Kansas. CASE INFORMATION SUtement of Claim filed on or about

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant LaSalle St. Securities. Inc. 93-01598 Name of Respondent Mark Robinson REPRESENTATION For Claimant at the hearing: David A. Geneily, Esq. of Fishman & Merrick, P.C., Chicago, Illinois. For Respondent at the hearing: Pro Se. CASE INFORMATION Statement of Claim filed: April 20, 1993. Claimant's Submission Agreement si

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cecil W. Murray 93-01595 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant: Cecil W. Murray ("Murray") was represented by Anthony V. Trogan, Jr., Esq. of Weisman Trogan Young & Schloss, P.C., located in Birmingham, Michigan. For Respondent: Shearson Lehman Brothers, Inc. ("Shearson 11 ) was r

NASD Arbitration No: 93-01591 N.4.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Vir Sen Budhraja Name of Respondents Kennedy, Cabot & Company Securities Settlement Corporation REPRESENTATION For Claimants: In Pro Se For Respondents: George H. Kupper, Esq. CASE INFORMATION Statement of Claim filed: April 21, 1993 Claimants' Submission Agreement signed: Apr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leroy Viersen, Patricia Viersen, and Jessie H. Watts, Claimants v. Interfirst Capital Corporation and Douglas Wright, Respondents Case Number: 00-03653 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Raymond R. Prazen, Esq. Prazen & Associates El Cajon, California For Respondents: Robert A. Uhl, Esq. Robert A.Uhi, Inc. Beverly Hills

_ N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DRRLERS . IMC. In the matter of the Arbitration Between Name of Claimant (s) Edward A. Mendell Nancy L. Mendell NASD Arbitration No. 93-01585 Name of Respondent f s) Merrill Lynch, Pierce, Fenner & Smith, Inc. William B. McCann Michael W. Bozora REPRESENTATION For Claimants: Reed H. Bement, Esq., Reed H. Bement, Inc., San Francisco , California For Respondents: Michael E. Ol