N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between , ' •• ' '~^ r ""^ ^ N f ame of Claimants) fj CCT - " ,^3 fjj - " ,^3 U\-^^^"'C~^i Charles M. Russell First American Bank '••— —- Essenbee & Co. First Institutional Securities Coip. Case No. 92-00549 Name of Respondents) A. Webster Dougherty Inc. Allison Rosenblum & Hannahs Masters Financial Group

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant N.A.S.D. AWARD PUBLIC Seymour Millstsin 91-02394 Name of Respondents Smith Barney, Harris & Upham & Co. Inc. Gregg F. Gallagher REPRESENTATION For Claimant Seymour Millstein: John Rogers Carroll, Esq-. of Carroll and Carroll . For Respondents Smith Barney, Harris & Upham & Co., Inc. and Gregg F. Gallagher: Joan Guggenheimer , Esq. of S

NATIONAL ASSOCIATION CF SECURITIES DEALERS, INC. In. che Matter cf the Arbitration Between Catherine L. Daidone, Gordon A. Soeder and Linda G. Smith Claimants vs. CASE #91-00342 AWARD Catherine L. Daidone vs. Sherman Fitzpatrick & Co., Inc. CONSOLIDATED WITH CASE #91-00610 AWARD Gordon A. Soeder vs. Sherman FitzpatricJc & Co., Inc. CONSOLIDATED WITH Clnda G. stmcn vs. Sherman Fitzpatrick i Co. , Inc. Sherman Fitzp

N.A.S.D. AWARD ASSOCIATICN OF SECURITIES DEALERS In the Mattes: of the Arbitration Between Name of Roy Davidson Nancy Davidson NASD Arbitration No. 91-02009 Name of Resnondent(s) §^S^^mr5lSart BjQHwrp, Inc. Arthur PfMyhng For c r LgH Tn c |r|< 'g- Irving M« EHyflvTrn, Esq. , Ifs Angeles, For Respondents: Timothy N. Will, Esq., Keesal, Young and Logan, Long Beach, California William A. HnJhmwer, Esq., Shear

N.A.S.D. AHARD NKTICNAL ASSOCIATION OF SHJJklTiSS DEALERS la t±e Matter of the Arbitration Between Gae C. Preston. 91-01933 First Affiliated Securities, me.; J.P. Bobn & Co., IDC.; J. P. Beta; Joe Stafford; Bettor Securities d/b/a First Affiliated Securities, Inc. Far ni«< «»tH-« GM c. Preston was leyKuseuted by MnJc X Glasser, Bsg> and Ctuori T^< nm»n f Ewi. of Porter ft CXenentBr located in ^* For fieepoodents First Affiliate

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02249 Antonio Vernon, claimant vs. Web Street Securities, Inc., respondent. ATTORNEYS: Claimant Antonio Vernon ("Claimant") appeared Pro Se., St. Louis, Missouri. For Respondent Web Street Securities, Inc. ("Respondent"), appeared in-house counsel, Sara S, Lippold, Esq., Deerfield, IL. DATE FILED: 05/17/1999 CASE SUMMARY: Claimant alleged that on February

JkSSOCXKFICtT OF N.A.S.D. AWARD TSK In the Hatter of the Arbitration, Between Arbitration National Aatodatlon of SacurMaaOaalara.lfiG. NASD financial Cantar 33 Whitehall Strwt New York, Naw York 1000) Fata 91-01458 Marrill Lynch Pi Barry L. Hackatt & SBdth IDC Poo: GlainHnt: Qulnto Fa.ta repreaenterl For flfoprrrtofitni EUzabctb Inc. Amatixug, Baq. of Mexrill Lynch Pierce Statanaat of Claim filedi May 9, 1991.

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS - In the Matter of the Arbitration Between ) ) Name of Sara Yonis ) ) ) Case No. 91-00609 Donaldson Lufkin & jenrette Securities ) James Mestl ) Heard before the mspj-ars of the ArbitrationTanel: Robert Herschnann/ Esq. Public Terrence W. Grant Industry James E. Morrison Public Claimant, Sara Yonis {"Yonis"), was represented by Michael R. Casey, Esq. of Casey & Molchan

NATIONAL ASSOCIATION OF-SECURITIES DEALERS. INC. In the Matter of the Arbitration Between : Nancy Richardson : Claimant : i CASE J91-00521 VB. t AWARD Mutual Service Corp. : Xemper Financial Services, Inc. : s Respondents t CASE SUMMARY Nancy Richardson, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on February 15, 1991, alleged that Respondents failed to put her IRA funds into' the Kemper Bon

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PUBLIC Donald & Ilene B. Raphael Claimants CASB #91-00323 vs. AWARD • Richard McGuire Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 30, 1991, Claimants, Donald & Ilene B. Raphael, who appeared Pro Se, alleged that on January 31, 1989, Respondent, Richard McGuire, a registered repres