Arbitration * N.A.S.D. AWARD NATIONAL ASSOCIAIICN OF SE9CDRITZES DEAU3RS In the Matter of the Arbitration, Between Frank R. Mead III 90-03328 Kidder, Feabody & Co., Incorporated Stuart Carter National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimant Frank R. Head, HZ ("Claimant"): Mark V. Evans, of Hood law Firm. For Respondents Kidder P

N.A.S.D. AWARD NATIONAL ASSCdftTXCN OP s> iMIIJI ' l ' rRg E3VLERS In cbe Matter of the Arbitration Between Herbert Bode v. 90-03609 Cberhofer & Go. Mai* Cberoof er Micbael Baldwin Donaldson yjif^n & Jenrette Securities Carp. Pbr dadinanti David F. Itorgan, Esq. - Barton, nugnan & Getting, 333 South Grand Ave. , 37th Floor, Los Angeles, C3L 90071 Par RaapondaDts: & Jenrette Securities - Susan L. aoffnan, Esq.,

N.A.S.D. AWARD NATICKAL ASSOCIATION OF SECURITIES DEALERS- In the Matter of the Arbitration Between ) ) Kane of Claimant (s) } > Marie P. Batchelder ) ) } ) Name of Respondent (a) ) ====1===a— ====== ^ Richard Scott Asset Management, IDC. ) Eugene Herscher } Barry Rorex } Leslie Anne Moore ) Case No. 90-03608 For dainant, Marie P. Batcbelder ("Batcbelder*): Adam S. Doner, Esq. of McGee, Jordan, Shuey, Gordon.

N.A.S.D. AWRRD NATIONAL ASSOdKTICN OF gMCTJKl'i'l ^ DEALERS In the Matter of the Arbitration Between Q£ Joseph R. Dlcosola 90-03606 Mama of Respondents David A. Nbyes & Qcnpany Joseph Baba Hie Claimant, Joseph R. Dlcosola, was represented by Mark s. Boyle, Esq. of Goldstein & Boyle, Ltd. of Chicago, IL. Bie Respondent, David A. Noyes & Co., was represented by James J. Moylan, Esq. of Maylan & Associates of Chicago, IL. Tbe Respondent

N.A.S.D. AWARD Arbitration ASSO? NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between National Association o( Securities Orators. Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdafe. Florida 33301 (305) 522-7391 Renee Goldf in Case No. 90-03594 Shearson Lehman Button, Inc. Barry Menin Heard before the Arbitrator: Steven D. Elias, Esq. Public EON Claimant, Renee Goldf in ("G

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Peter and Elissa Cassella (Claimants) vs. Charles Schwab & Co., Inc. (Respondent) Case Number: 99-02217 Hearing Site: Seattle, Washington. REPRESENTATION OF PARTIES Peter and Elissa Cassella hereinafter referred to as "Claimant": Peter Cassella represented himself. Charles Schwab & Co., Inc. hereinafter referred to as "Respondent": Amir Tadjedin, Esq., Charles Schwab & Co., Inc.,

NASD N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS- In the .Matter of the Arbitration Between. Name of Claimant Donald A. Danielson 90-03592 Name of Respondent Smith Barney Harris Upham & Co., inc. National Association of Securities Dealers. Inc. NASD Financial Center 33 Whiten all Street New YorK. New York 10004 For Claimant, Donald A. Danielson ("Claimant"): Daniel J. Brooks, a sole practitioner.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ) Glenda Rose, on behalf of the Glenda Rose Trust Name of Respondent (s) ) ) Shearson Lehman Brothers, Inc. ) J Case No. 90-03590 For Claimant, Glenda Rose Trust ("Rose"): Patricia A. Snub, Esq. of Snub & Barclay, P. A. For Respondent, Shearson Lehman Brothers, Inc. ("Shearson"): Lonnie Browne Zangrillo, Esq. of Boose Ca

NATIONAL ASSOCIATION OF SECURITIES DEALERES, INC. In the Hatter of the Arbitration Between Anthony J. Amato Claimant Award vs. P.N. Wolf & Co., Inc. Resoondent Case #90-03584 CASE Pro Se Claimant Anthony J. Amato, in a claim filed with the National Association of Securities Dealers, Inc. on December 20, 1990, alleged that Respondent, F.N. Wolf and Co., Inc., materially misrepresented the financial condition of Computer Components

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between W. Paul & Betty J. Armstrong Claimant CASE #90-03579 vs. PaineWebber, Inc. Respondent CASE SUMMARY Pro Se Claimants, W. Paul and Betty J. Armstrong, in a claim filed with the National Association of Securities Dealers, Inc. on December 20, 1990, alleged that their broker at PaineWebber, Inc. failed to provide pertinent information concerning RjR-Nab