N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Maynard B. and Shirley A. Stevenson 93-01251 Name of Respondents Kidder, Peabody & Co., Inc. Andrew C. Anagnostou CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 30, 1993, Claimants Maynard & Shirley Stevenson, who appeared Pro Se, alleged that Respondent Kidder, Peabody & C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carla M. Miller MODIFIED AWARD 93-01249 Name of Respondents Brent Jay James B. Castles CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 30, 1993, Claimant Carla M. Miller, who appeared Pro Se, alleged that Respondent James B. Castles, an employee of International Business

T i. N.A.S.D, AWARD , - - .. , j ^"»' »-• NATIONAL ASSOCIATION OF SECURITIES In the Matter of the Arbitration Between ' **\ r _ Name of Claimant • '' ' ' '" •*""'• Dean Witter Reynolds, Inc. 93-01246 Name of Respondent Robert C. Whitney REPRESENTATION For Claimant Dean Witter Reynolds, Inc. at the hearing: Gary Saretsky, Esq. of Hertz. Schram & Saretsky, P.C., Blor- -id, Michigan. For Respondent Robert Whitney, at

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between TsJgmp nf P.laimnnt Martha A. Nisley Case No. 00-03611 Prudential Securities, Inc. Tod Shoffler Robert A. Mayer Hearing Site: Philadelphia, PA -Claimant, Martha A. Nisley, hereinafter referred to as "Claimant" represented herself at the • ^; < "' hearing. / ; ;:' Respondents, Prudential Sccuritles;lnc.'"( 'iyieHfel"). Tod Shoffler O'Shoffler'^ and Rbbertl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Stephen A. Kohn Chester J. Hebert and 93-01245 Name of Respondents U.S. Securities Clearing Corporation A. James Miranti Steven Scott Maxie Jimmy Villalobos REPRESENTATION OF PARTIES Stephen A. Kohn and Chester J. Hebert ("Claimants") were represented by John Fogerty Winston, Esq., Englewood. Colorado. U.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Brian Estes 93-01240 Name of Respondents Shearson Lehman Brothers, Inc.,n/k/a Smith Barney Shearson Inc.; James Magruder REPRESENTATION For Claimant: Brian Estes ("Estes") was represented by Firmin A. Puricelli, Esq. of St. Louis, Missouri. For Respondent: Shearson Lehman Brothers, Inc., n/k/a Smith Barney Shearson Inc.

NASD Arbitration No: 93-01237 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Gulzar Vali Name of Respondents U.S. Securities Clearing Corporation W. Brady Houghton REPRESENTATION For Claimant: J. Jeffrey Morris, Esq. - Santa Monica, California For Respondents: In Pro Se CASE INFORMATION Statement of Claim filed: March 30, 1993 Claimants' Submission Agr

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITTFS DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Manuel and Laura Rosen, individually and as Trustees vs. Name of Respondents Paine Webber, Inc. Thomas Candelaria NASD Arbitration No. 93-01236 REPRESENTATION For Claimants: James C. Krause, Esq. • San Diego, California For Respondents: D. Scott Macrae, Esq. * Coronado, California CASE INFORMATION Stateme

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFAI.FRS Grant Dean Buick Retirement Trust, Robert Andrea, Trustee Claimant, v. No. 93-01232 Hamilton Investments, Inc. Respondent. REPRESENTATION OF PARTIES For Claimant: Mitchell L. Perlstein, of Parker Perlstein & Co., Boca Raton, Florida. For Respondents: Rosemarie J. Guadnolo, Esq., of Horvath & Lieber, P.C., Chicago, Illinois. CASE INFORMATION Statement of Claim filed on or abou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant First of America-Security et al. 93-01228 Name of Respondents First of Michigan Corporation Sam J. Galanis REPRESENTATION For Claimant: Marc E. Thomas, Esq. of Bendure & Thomas For Respondent: Michael P. Coakley, Esq. of Miller Canfield, Paddock and Stone CASE INFORMATION Statement of Claim filed: March 26, 1993