N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Aimee P. Katz Anne Frank Museum Kathrin Katz Great Oaks Inc. d/b/a Aimee et Cie 93-01175 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. David Mallach REPRESENTATION For Claimants Aimee P. Katz, Anne Frank Museum, Kathrin Katz, Great Oaks Inc. d/b/a Aimee et Cie ("Claimants"): Aimee P. Katz. For R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ** Fredric Apt vs. NASD #93-01172 AWARD of Respondents PaineWebber, Inc. Financial West Group Douglas C. Waisner Donald G. Brooks REPRESENTATION For Claimant: Dennis R. Villavicencio, Esq., Law Offices of John Lawrence Allen, Carlsbad, California For Respondents PaineWebber, Financial West Group and Douglas Waisner: H Thomas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael and Gail Caprio 93-01167 Name of Respondents Hibbard Brown and Company, Inc. and Daniel Grieco REPRESENTATION For Claimants Michael and Gail Caprio ("Claimants") appeared L. Mifflin Hayes, Esq. of Scotch Plains, New Jersey. For Respondents Hibbard Brown and Company, Inc. ("Hibbard Brown") and Daniel Grieco ("Gr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ronald A. King, Sr. and Virginia L. King Case# vs. 93-01163 Name of Respondent Irwin W. Epstein REPRESENTATION Claimants Ronald A. King, Sr. and Virginia L. King ("Claimants") represented themselves. Respondent Irwin W. Epstein ("Epstein") represented himself. CASE INFORMATION Statement of Claim filed: March 22, 1993.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Ann Lea Locken 93-01157 and Name of Respondents Shearson Lehman Brothers, Mary Wichman and Ivan Hovey REPRESENTATION OF PARTIES Claimant, Ann Lea Locken ("Locken") was represented at the hearing by Bruce Pearson, Fargo, North Dakota. Respondents, Shearson Lehman Brothers ("Shearson"), Mary Wichman ("Wichman"), and Iva

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John K, Schels, individually, and John K. Schels, as Personal Representative of the Estate of Jeanne E. Schels, Claimants, v. PaineWebber, Inc, f/k/a J.C. Bradford & Company, Respondent Case Number: 00-03608 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For John K. Schels, individually, and John K. Schels, as Personal Representative of the Estate of Jeanne

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ralph and Hilda Borreson 93-01154 Name of Respondent Lawrence Kobb CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 25, 1993, Claimants Ralph and Hilda Borreson who appeared Pro Se, alleged that Respondent Lawrence Kobb, while employed by Dean Witter Reynolds, Inc. rec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant James R. Petersen NASD Arbitration No.93-01152 Name of Respondents A.G. Edwards & Sons, Inc. Robert Bagby Timothy Metcaif Michael Gates REPRESENTATION For Claimant: R. Stephen Bolinger, Esq., Cerritos, California For Respondent; Jeff Jamieson, Esq., A.G. Edwards & Sons, Inc., St. Louis, Missouri CASE INEOR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Brower 93-01148 Name of Respondents American Bond Group, Inc. REPRESENTATION For Claimant: William Brower, appearing pro se. CASE INFORMATION Statement of Claim filed: March 23, 1993. Claimant's Submission Agreement signed on: March 20, 1993. Respondent American Bond Group, Inc. failed to file a Statement of Ans

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Nick A. & Margaret Ann Marino 93-01147 Name of Respondent Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 24, 1993, Claimants Nick A. & Margaret Ann Marino, who appeared Pro Se, alleged that Respondent Prudential Securities, Inc., through its register