NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Helen Entenmann, Individually and as Trustee of the Helen Entenmann Trust Claimants v. NASD No. 93-1069 Crov/eLL Weedon & Co. and Mark E. Graham Respondents Representation For Claimant: JeffFerentz of Greenbaum & Ferentz of Newport Beach, CA For Respondent: John Blue, Esq., Kevin Fanner, Esq. and James Sobieski, Esq. of Adams, Duque and Hazeltme

—^ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Previously Owned Partnerships Income Fund H NASD Arbitration No. 93-01066 Name nf Respondent Liquidity Fund Investment Corp. REPRESENTATION For Claimant: Mr. Charles E. Patterson - Previously Owned Partnerships - Lafayette, California. For Respondent: Darryl P. Rains, Esq. - Morrison & Foerster - San Francisco, Cal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Catherine L. Blouin 93-01061 Name of Respondent Guy W. TrujUlo Economic Consultants, Inc. Sun America Securities, Inc. REPRESENTATION For Claimant at the hearing: Robert R. Biglow, Esq., Minneapolis, Minnesota. For Respondents Sun America Securities, Inc. and Guy Trujillo at the hearing: Julie L. Levi, Esq. of Meagher &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Nafrie of Claimant William Manning, NASD Arbitration No. 93-01059 v. Name ot Respondent Frank Baumgartner REPRESENTATION For Claimant: William Manning, Eugene, Oregon. For Respondent: Thomas C. Sand, Esq., Miller, Nash, Wiener, Hager & Carlsen, Portland, Oregon. CASE INFORMATION Statement of Claim filed: March 19, 1993 Cla

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Samuel Richard Scott, Claimant v. Kennedy Cabot & Company (aka Calabasas Asset Holding Company, Inc.), Donald F, Mills, and Allison B. Clago, Respondents Case Number: 00-03600 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Kenneth S.Gaines, Esq. Law Offices of Kenneth S. Gaines Woodland Hills, California Steven L. Miller, Esq. Law

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITY DEALERS. TNC. In the matter of the Arbitration Between Name nf Claimant David Glassel r Trustee, George Qlassel Co. r Inc.. Profit Sharing Plari T nf Resondents NAPEX Financial Corp. National Partnership Exchange, Inc. NASD Arbitration No. 93-01058 REPRESENTATION For Claimant: David Glassel, In Pro Se For Respondent: No Appearance CASE INFORMATION Statement o

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaiinant Mervin Stenzler 93-01057 Name of Respondents Giuntal & Co., Inc. Paul Kramer CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 19, 1993, Claimant Mervin Stenzler, who appeared Pro Se, alleged that he originally maintained an account with Respondent Gruntal & Co., Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Don L. Tran and Hai H. Tran and 93-01056 Name of Respondent Valentin Fernandez REPRESENTATION OF PARTIES Don L. Tran and Hai H. Tran ("Claimants") appeared pro se. Valentin Fernandez ("Respondent") were represented by Steven B. Caruso, Esq. of Hibbard Brown & Company, Inc., New York, New York. CASE INFORMATION Th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James and Edwina U. Dunworth 93-01043 Name of Respondents Shearson Lehman Brothers, Inc. Michael R. Cosgrave REPRESENTATION For Claimants James and Edwina U. Dunworth ("Claimants"): Kevin A. Palmer, Esq. of the law firm of Butera, Beausang, Cohen and Brennan, King of Prussia, PA. For Respondents Shearson Lehman Brother

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William P. Carroll Jr. Pamela L. Carroll JT/WROS 93-01042 Hibbard Brown & Company Inc. Bruce Gregory Buscetto CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 18, 1993, Claimants William & Pamela Carroll, who appeared Pro Se, alleged that Respondent Bruce Gregory Buscetto of the Respond