N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Peter M. and Bertha Sniady 93-01290 Name of Respondent Pacific Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 1, 1993, Claimants Peter M. and Bertha Sniady, who appeared Pro Se, alleged that on January 25, 1993 they called Respondent Pacific Brokerage S

f- -•** N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Nichols Barrett and Roberta Barrett 93-01284 Name of Respondents Stephen D. Regan Don R. Porter REPRESENTATION For Claimants Nicholas and Roberta Barren ("Claimants"): They appeared pro se. For Respondents Stephen D. Regan ("Regan") and Don R. Porter ("Porter"): Jonathan P. Dyer, Esq. of the law firm of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Judith W. DiGiovanni Capital Tile Co. Employee Benefit Plan Capital Tile Co., Inc. 93-01283 Name of Respondents Shearson Lehman Brothers, Inc. John Moy Judith W. DiGiovanni and R. T. DiGiovanni REPRESENTATION For Claimants Judith W. DiGiovanni ("Ms. DiGiovanni"), Judith W. DiGiovanni and R.T. DiGiovanni, Trustees F

f Award NASD Dispute Resolution In the Matter of the Arbitration Between: PaineWebber Incorporated, (Claimant) vs. Steven L. Aaron, Stephen M. Fell as Trustee of the JTA Trust No. Three, Joshua Aaron as Beneficiary of the JTA Trust No. Three, and the JTA Trust No. Three, (Respondents) vs. Gail Bliss, J. Richard Schultz, and Jeffrey Wetherbee (Third- Party Respondents) Case Number: 00-03612 Hearing Site: Albany, New York REPRESENTATION OF PARTIES

N.A.S.D. AWAKD NATIONAL ASSOCIATION OF SECURITIES DEALERS Carroll Keith Willard, Claimant, v. No. 93-01273 Norwest Brokerage Services a/k/a Norwest Investment Services, Inc., Respondent. REPRESENTATION OF PARTIES For Claimant: Jon Jabenis, Esq., of Gallup, Schaefer, Riha, Dornan, Jabenis and Shapiro, Omaha, Nebraska. For Respondent: Lawrence Hoffman, Esq., of Zelle and Larson, Minneapolis, Minnesota, and Shed Gould, Esq., of Norwest Corp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Foresters Equity Services, Inc. No. 93-01272 Name of Respondent Gene Lavine REPRESENTATION OF PARTIES For Claimant: John P. Cione, President, Foresters Equity Services, San Diego, California, appeared by speaker phone. Jim Stahl, a registered representative of Foresters Equity Services, Inc., appeared at the hearing. Respondent Gene Lavine failed to appear at the

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lucille Smith 93-01268 Name of Respondents Stifel, Nicolaus & Company, Inc. REPRESENTATION For Claimant: Lucille Smith ("Smith") was represented by Harry O. Moline, Esq. and Sherri C. Strand, Esq. of Moiine & Shostak, located in St. Louis, Missouri. For Respondent: Stifel, Nicolaus & Company, Inc. ("Stifel") was represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Discover & Co. 93-01266 Name of Respondents Andrea L. Printy Family Trust, David L. Printy, David Luther Printy, and Charles B. Printy, E REPRESENTATION For Claimant at the hearing: Michael J. Nilan and Mullen Dowdal, Esq. of Popham Haik Schnobrich & Kaufman Ltd., Minneapolis, Minnesota. For Respondents at t

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ann G. Swanson & Russell Swanson 93-01265 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Jacqueline Strauss (Knoll) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 31, 1993, Claimants Ann G. and Russell Swanson, who appeared Pro Se, alleged that in Apri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Claudia Cosgrove 93-01255 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant: Sharon Sobers, Esq. of Tobias, Kraus & Torchia. For Respondent: David K. Montgomery, Esq. of Keating, Muething & Klekamp. CASE INFORMATION Statement of Claim filed: March 30, 1993. Claimant's Submission Agreement sig