N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas Thompson and Doris Thompson 93-01101 Name of Respondents Hayne, Miller & Farni, Inc. Michael S. Wheeiock Nancy K. (Sullivan) Kiger REPRESENTATION For Claimants at the hearing: Thomas F. Hutchinson, Esq. of Eastlund, Solstad & Hutchinson, Ltd., Minneapolis, Minnesota. For Respondents at the hearing: Gregory J. St

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SF< TtJRrrTF.S PEA^pRS- TWC. !n the matter of the Arbitration Between of Claimant Madeline fienaon NASD Arbitration No,93-OllOQ of Stueamon Lehman Brothers, Inc. Glen Straws For Claimant: Robert Roth, Investors Arbitration Services, Woodland Hills, CaUfbrak For Respondents: David M Bartholomew, Esq.* and Elizabeth J. Harris, Esq., Keesai, Young Ac Login, Long Beach, California CASE TTSJPORM ATTON

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maiter of the Arbitration Between Name of Claimant Elizabeth L. Rawlins 93-01089 Name of Respondent David P. Grail CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 22, 1993, Claimant Elizabeth L. Rawlins, who appeared Pro Se, alleged that Respondent David P. Grail of Merrill Lynch, Pierce, Fenner & Smith, Inc., caused the value of

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Irene M. Erwin, IRA, Claimant v. Morgan Stanley Dean Witter and Anthony Ray, Respondents Case Number: 00-03601 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Rick Erwin Non Attorney Representative Nipomo, California For Respondents: Anne Tennant Cooney, Esq. Morgan Stanley Dean Witter San Francisco, California CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Eugene Howard 93-01085 Name of Respondem(s) William Dodson REPRESENTATION For Claimant, Eugene Howard ("Howard"), Russell L. Forkey, Esq. of Deerfield Beach, Florida. For Respondent, William Dodson ("Dodson"), Lloyd R. Schwed, Esq. of Honigman Miller Schwartz and Conn in Miami, Florida. CASE INFORMATION Statement

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gilbert A. & Carolyn H. Wesson 93-01084 Name, Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 22^ 1993, Claimants Gilbert & Carolyn Wesson, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc., through its representative,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William Harrison and Shirley Harrison 93-01083 Respondents Prudential Securities, Inc. William Tatro CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 22, 1993, Claimants William and Shirley Harrison, who appeared Pro Se, alleged that in the latter part of 1986, Respondent Prudential Sec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Isadora Fendelman and Bernice Fendefman 93-01080 Name of Respondents Newhard, Cook & Co., Inc.; Harry W. Newhard RRPRKSRNTATIQN For Claimant: Isadora and Bernice Fendelman were represented by Howard S. Smotkin, Esq. of Riezman & Blitz, P.C., located in St. Louis, Missouri. For Respondents: Newhard, Cook & Co., Inc. was rep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUTUTffiS DEALERSnlNG. (ffi 1& lj ^7 ll \\\\ it-7~ \ ^ vu; t_ ., •.- MJ In the Matter of the Arbitration Between " ,]UN 2 8 1994 Name of Claimant ARBITRATION -Ort Pascuala Y. Cabreras and 93-01076 Name of Respondent Kenneth Puckett REPRESENTATION OF PARTIES Claimant, Pascuala Cabreros was represented at the hearing by Steven Samson, Esq. of Law Offices of Steven Samson, Evanston, Illinois.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Ron, Kenneth and Herman Winkeihake and 93-01072 Name of Respondents Smith, Barney, Harris Upham & Co., Inc. and Richard Guercio REPRESENTATION OF PARTIES Ron, Kenneth, and Herman Winkeihake ("Claimants") were represented at the hearing Pro Se by Ron Winkeihake. Smith, Barney, Harris Upham & Co., Inc. ("Smith Barney")