NWICKM. ASSOCZATZCK OP N.A.S.D. AfOKD DBtLEBS, DC. in the Matter of the Arbitration Name Devandra Fatal Damyanti Fatal 91-00759 Barrett Day Securitiea, Paul Kalley For RaepoBdenta: dadaanta a^yearad pro sa. Barrett Day Sacurltiaa, Inc. G. Nioai, Eaq. Paul Kailay Toy Stateunt of Claim filed cat Much 8, 1991. dainants 1 SutoisaicD Agreenaat signed ons Much 6, 1991. Joint Statement of Aoaiiat filed by Raopood

N.A.S.D. AWARD NftTICNRL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Vlnceat R. 91-00745 David Waddle Brothers, IDC. For Claimant: Gerald Kline, Esq. of Bauer, Deitch & Raines, P.O. in Atlanta, Georgia. For Respondents; Jamie Brownlee-Jordan, Esq. of Parker, Tfliriann, Rainer & Dobbs in Atlanta, Georgia. Statement of Halm filed: March 8, 1991. Claimant's Submission Agreement signed on: February

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ~ In the Matter of the Arbitration Between * * Janes Hhitall 91-00696 of PagnrmHorvt-q? Alex Brown & Sons Incorporated Michael Siefert For Claimant: William A. DeLorenzo, Esq., Solo Practitioner. For Respondents Alex Brown & Sons Inc. and Michael Siefert: Daniel Mclntyre, Esq., in house counsel for Alex Brown & Sons Inc. OISK Claimant signed a submission agreement on February

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Cynthia and Jay Herman Case No. 99-02863 Barnes of Respondents CIBC Oppenheimer Corp. Abbott L. Glasser Robert B. Herd, Jr. REPRESENTATION OF PARTIES For Cynthia and Jay Herman ("Herman"), hereinafter collectively referred to as "Claimants": Robert I. Claire, Esq., Boca Raton, Florida. For ODBC Qppenheimer Corp. ("Qppenheimer") and Robert

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Russell & Margery Handy 90-00974 Mane of PomrinH William Rosenberger B.C. Christopher Securities Company Blunt Ellis & Loewi Incorporated In a Stateoent of Claim filed with the National Association of Securities Coalers, Inc. ("NASD") on April 2, 1990, Claimants Russell aifl Margery Handy alleged that Respondent William Rosenbergec, while actin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Al Zelczer 90-00887 Prudential Securities, Inc. Bradford Hagerraan For Claimant: Stephen Willinger of Benesch, Friedlandler, Caplan & Arnof f For Respondent: Stephen J. Shine of Prudential Securities, Inc. Statement of Claim filed: March 26, 1990 Claimant's Submission Agreement signed on: March 15, 1990 Statement of Answer filed by Respondents,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Francis McLain Claimant(s) vs. Paragon Capital Corp. f/k/a Huberman Securities Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00838 CASE SUMMARY Claimant(s) Francis McLain alleged that Respondent(s) Paragon Capital Corp. f/k/a Huberman Securities Corp. executed an unauthorized transaction in Claimant's account in April 1989. Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Syed A. Barkatullah 90-00780 Naneof_pegtipndents J,F. Lowe & Conpany, Inc. Jim Lowe Kasi Hassan Hank Fichter Rich Greenstein John Nitkowski OF PARTIES All parties appeared pro se. In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about March 13, 1990, Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Barbara Baker, Claimant and 89-02508 The Chicago Corporation and Ladd Duda, Respondents In a claim filed with the NASD on or about September 8, 1989 Barbara Baker ("Claimant") alleged that Trrtl Duda ("Duda") a broker at The Chicago Corporation ("Chicago Corp.") (collectively as "Respondents") mad* unauthorized sales of 5 covered calls of R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Joanne IfcGee-Hall 89-02995 Name of ftesnondent/s) Trace Paradise Jinny Carter Texas Independent Securities In a claim filed with the NASD on or about October 22, 1989, Joanne McGee-Hall ("Claimant") alleged that Texas Independent Securities, Trace Paradise and Jinny Carter (collectively "Respondents"): 1) misrepresented materia