Arbitration .*> N.A.S.D. AWARD NRTXCNAL ASSOCIATION OF SECURITIES DEALERS" In the Matter of the Arbitration Between Name of Mark D. Schwartz NanjeofRespcodeiits Prudential Securities Inc John C. (Hidden Gerald P. MnBride Steokaa Olsen 90-03435 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street Mew York. N.Y. 10004 FAX (212) 858-4389 For Mark D. Schwartz ("Claimant"): David A

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Ronald and Elaine Rieley vs. Case No. 99-02222 Name of Respondents Wheat First Securities., Inc. David C. Holdsworth REPRESENTATION OF PARTIES Claimants, Ronald and Elaine Rieley, hereinafter collectively referred to as "Claimants": Robert E. Sharkey, Esq., Gordon, Feinblatt, Rothman and Hoffberger, Baltimore, Maryland Respondents, Wheat First

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Philip Kaplan 90-03427 Name of Respondents Royce Park Investments, Inc. David DeWind REPRESENTATION For Claimant: Donald L. Summer, Esq. a sole practitioner. For Respondent, David DeWind: Timothy J. O'Connor, Esq. of Ainsworth Sullivan. Respondent, Royce Park Investments, Inc. did not appear at the hearing. CASE INFORM

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Julius Kahn Claimant vs. CASE AWARD Shearson Lehman Brothers, Inc. Respondent CASE *90-03426 CASE SUMMARY Julius Kahn, in a claim filed with the National Association of Securities Dealers, Inc. on December 5, 1990, alleged that Respondent Shearson Lehman Brothers, Inc. through their Financial Consultant, Victor Elkind, made unauthorized sales of

N.A.S.D. 3HARD NATIONAL ASSCCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Claude and JoBeth Sharpensteen . Of rectwrres Oii'-tfw. me. AU619199I ;ii ARBITRATION-CHICAGO 90-03420 Boucher, Oehmke & Company Bryce Boucher Donald Oehnke Claimants Claude and JoBeth Sharpensteen were represented by Michael Salcido, Esq. of Burch & Cracchiolo, P.A., Phoenix, Arizona. CBSB ljmjgiBrrj

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; * Oppenheimer & Co., Inc. ; • i Claimant ; ; CASE #90-03419 vs. ; AWARD • James R. McClung ; r Respondent ; CASE SUMMARY Claimant, Oppenheimer & Co., Inc. Garden City, NY by and through its outside counsel, Wexler & Burkhart, PC, in a claim filed with the National Association of Securities Dealers, Inc. on December 4, 1990, all

N.A.S.D. AJfcRD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mane pf Claimant Tiffany T. Michel 90-03415 Peter C. Kapreilian G.K. Scott & Co., Inc. Michael Czaja For Claimant.: Bernard Kcbroff, Esq. of S. W. Azriliant, P.C. For Respondents G. K. Scott & Co., Inc. and Michael Czaja: Harold Geringer, Esq. of Geringer & Dolan. Respondent Peter C. Kapreilian did not have a counsel of record. Claiman

N.A.S.D. AfrffiRD NATIONAL ASSOCIATION CF SECURITIES DEALERS In the tetter of the Arbitration Between Patrice Leonard MfflnB QT Global Capital Securities, Inc. Edward A. Mardini Heard before the arbitrator; Casey H. Mills, Esq. ) Award No: 90-03413 Public Claimant, Patrice Leonard ("Leonard"), was represented by Michael A. Criden, Esq. of Zack, Hananan & Ponce. Respondent, Global Capital Securities, Inc. { "Global"), was repxx Mi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between Name of Claimants William J. Holland, SIPC Trustee for Oberweis Securities, Inc. 90-03409 Name of Respondent Ronald A. Alghini REPRESENTATION OF PARTIES For Claimant: Christopher Barber, Esq. of Adler, Kaplan & Begy of Chicago, Illinois. For Respondent: James E. Hani on, Jr., Esq. of Katten, Muchin & Zavis, Chicago, Illinois. CASE I

N.A.S.D. AWARD NAHCNRL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Between Mane nf Claimants} Charles I. & Lorraine Hanson JT/TEN 90-03408 Associated Financial Services, Inc. Claimants Charles I. Hanson and Lorraine Hanson appeared pro se. Respondent Associated Financial Services, Inc. was represented by Robert H. Madhus, President of Associated Financial Services, Inc., Fargo,North Dakota. Statement of Claim filed: Decembe