PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert I. Bakus 92-01377 Morgan Keegan & Company, Inc. Michael Poust CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 22, 1992, Claimant Robert J. Bakus, who appeared Pro Se, alleged that Respondent Michael Poust, while at the Respondent firm Morgan Keegan & Company, In

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Behrouz Saadat Claimant CASE 092-01374 AWARD vs. Quick & Reilly. Inc. Mike Devine Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 22, 1992. Claimant Behrouz Saadat who appeared Pro Se. alleged that Respondent Quick & Reilly, Inc. made an error when it purchased 1.000 shares of A

M.A.s.n. CF g"CL*3ITTgS S In the matter of the Arbitration Between Charles E. Thomas NASD Arbitration No. 92-01364 Mama of P United International Securities, Inc. Edwin Larson Daniel Broyles BttBUfiDAXXQK For Claimant: Charles E. Thomas, Laguna Hills, California For Respondents: Irving M. Einhorn, Esq., Einhorn & Edgerton, Los Angeles, California cAMLjarnmTTntt Statement of Claim filed: June 15, 1992 Claimant's Submission

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Wallace and Rena Perkins Claimants vs. Arbitration # 92-01362 Merrill Lynch, Pierce, Penner & Smith, Inc. Respondent ARBITRATION AWARD REPRESENTATION 1. Claimants were represented by Mr. Wallace Perkins. 2. Respondent was represented by Mr. Todd A. Zuckerbrod, Attorney at Law. CASE INFORMATION 3. On April 14, 1992, Wallace Richard Perkins and Rena V.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Daisy Simas (Claimant) v. Citcorp Investment Services (Respondent) Case Number: 99-03173 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Daisy Simas ("Simas"): Erwin Cohn, Esq., Cohn & Cohn, Chicago, Illinois. Respondent Citicorp Investment Services ("Citicorp"): Joanne M. Chormanski, Esq. Salomon Smith Barney Office of General Counsel, New York, New York. C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Glenn W. Sedgwick. Trustee of the Glenn W. Sedgwick Living Trust: 92-01359 Name of Respondents Tucker Anthony Incorporated, d/b/a Gabriele. HuegUn & Cashman: Steven B. Paskal For Claimant: Glenn W. Sedgwick, Trustee of the Glenn W. Sedgwick Living Trust ("Sedgwick") was represented by William J. Travis, Esq. of Greensfelder Hemker & Gale, P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimantfs} Sharon and Joel Van Weelden 92-01352 Name of Respondent^ s) Harrison Mayes Securities, Inc. Robert L. Walker REPRESENTATION For Claimants, Sharon and Joel Van Weelden ("the Van Weeldens"): Brian Lowe of Investors Arbitration Services, Inc. For Respondent, Harrison Mayes Securities, Inc. ("Harrison Mayes"): W. A. Harrison,

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEBUSES In the Matter of the Arbitration Daniel R. MoGlynn 92-01351 Pacific Brokerage Services Inc. National Association of Securities Deafen, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimant Daniel R. MoGlynn. ("Claimant"): Daniel R. McGlynn represaotad bimael£. For Respondent Pacific Brokerage Services ( Comp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Patricia T. Russell Case No. 92-013*7 Name of Respondent s) Marion Bass Securities Corporation Bob White Marion F. Bass For Claimant, Patricia T. Russell ("Russell"): Donald S. Hartley. For Respondents, Marion Bass Securities Corp. ("Bass Securities"), Marion F. Bass ("Bass") and Bob White ("White"): Matthew Joyner, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barbara Ann Borke Baumgardner & E. Wayne Baumgardner 92-01346 Name of Respondents Legg Mason Wood Walker. Inc Michael M. Ford REPRESENTATION For Claimant: William N. Butler of the law firm of Howard, Butler. & Melfa. P.A. For Respondents: Kevin F. Arthur and Andrew Jay Graham of the law firm of Kramon & Graham, P.A.