NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01042 Barbara J. Heidmann, Claimant vs. Paul Hoffman and Keith Peters, Respondents. ATTORNEYS: For Claimant, Barbara J. Heidmann, ("Claimant"), appeared Thomas J. Martell, Esq., Bonduel, WI. For Respondents, Paul Hoffman and Keith Peters, (collectively "Respondents"), appeared, Robert E. Nesemann, of Nesemann Law Office, S.C., Appleton, WI, DATE FILED: March 9, 2000 CASE SUMMAR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant B.C. Christopher Securities Co.. Inc. No. 89-02780 Names of Respondents/Counterclaimants Frank and Debra Marsilio Names of Third-Party Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Shearson Lehman Brothers, Inc.. Robert Ruppen, A. G. Edwards & Sons, Inc., Scottsdaie Securities. Inc., and Bruno Stolze &

A/ASO N.A.S.D. KRTICNAL ASSOCDUTICN OF SECORITIES in tha Mattar of tha Arbitration B4twaan Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Henry J. va * 89-02778 sheeraon Lehnen Button, Xnc. Robin J.Ruaao Georgia J. QIIJTTTI Heard before thai members of thai Arbitration Panels J. Levison J. Public This natter was initiated

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) CHARLES R. CALVERT ) ) Claimant ) ana ) ) CASE NO. 89-02773 TRAVELERS EQUITIES SALES, INC. ) Respondent CASE SUMMARY Charles R. Calvert ('Claimant") alleged that Travelers Equities Sales, Inc. ("Respondent"): 1. recommended the purchase of Keystone Blue Ash 3 Limited Partnership ("the investment") which was unsuitable for the Claimant;

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Namp of Stephen B. Keyser, David J. Baron ) and Fergeson, Skipper, Shaw, Keyser, ) Baron and Tirabassi, P. A. Profit ) Case No. 8S-02763 Sharing Plan ) \ Hopper Soliday and Co ., Inc. ) Robert L. Fryer, Jr. ) For Claimants, Stephen B. Keyser("Keyser"), David J. Baron ("Baron") and Fergeson, Skipper, Shaw, Keyser, Baron and Tirabessi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiitantfsi Kurt & Berdel Wise '""" 59-02759 Name of Respondent, f s) Dillon Securities Inc., Thomas Dillon, Conrad Lysiak, Lyle Haas, Kim Haas, and Brian Chaffee In a Statement of Claim filed with the NASD on October 4, I9B97- Claimants Kurt and Berdell Wise alleged that: (1) the Respondents solicited and sold securities to the Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Spencer M. Daniels Claimant(s) vs. 89-02754 Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Spencer M. Daniels alleged that Respondent(s) Blinder, Robinson & Co., Inc. is guilty of manipulation and misrepresentation. Respondent(s) maintain that Claimant's losses were caused or contributed to by

N.A.S.U. ^ NATIONAL ASSOCIATION OF SECURITIES CEALEBS In the Matter of Che Arbitration Eecween Name of Claiirant.i5| James Joyce Jordan 39-02733 Name of Respopriftnti f SJ Rettler & Company Glenn Siessar Public Public Industry Claimant represented himself. Respondents were represented by Richard P. Greene of the Law Office of Richard P. Greene. This matter was initiated by a Statement of Claim filed with the National Associat

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stephen and Barbara Kindle Claimant(s) vs. 89-02750 Adam Fox and Sherwood Capital, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Stephen and Barbara Kindle alleged that Respondent(s) Adam Fox and Sherwood Capital committed unauthorized trading. Respondent(s) deny Claimants' allegations and in addition Sherwood Cap

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Beverly P. King ) Claimant ) ) AWARD vs. ) ) NASD # 89-02746 Dunman Resources, Inc. ) Pat Preiss ) James Duncan ) Jeff Sherman ) Respondent ) ) SUMMARY OF ISSUES Claimant alleged Respondents solicited her investment in certain limited partnership investments for which she was not suited. Claimant alleged misrepresentations and