PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03085 AHARD In the Matter of the Arbitration Between Jerome Simonoff Claimant vs. Best Investors Group, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 2, 1991, Claimant Jerome Simonoff, who appeared Pro Se, alleged that in early October 1990 he received notice from Respondent Best Investors Group, I

N.A.S.D. NATIONAL ASSOCIATION OP SBCOR1TIES DRATBRS T of Matt Golden et al. 91-03083 Boettcher & Gonpany Claimant, Matt Hold 0 !! Ra&pcndaatf Boettcher & Cccpany was represented by W. Charles Itnnacn, Esq. of Gallagher & Kennedy, P.A., Phoenix, Arizona* Statement of dalm was filed with the National Association of Securities Dealers, Inc* ("NASD") en October 2, 1991. Claimant, Matt Golden* s Submission Agreement was signed on Augu

Arbitration ® National Association of ASSOCTftTXCN OF SBCDRITIES BEHJ3RS, INC. NA^D 33 Whitehall Street _ New York, N.Y. 10004 In the Matter of the Arbitration Between FAX (2 12) 858-4389 Kenneth H. Bunk Case #91-03081 Name of Respondents Dean Witter Reynolds, Inc. Joseph S. Honden Arunabha Sergupta KaMOS3EBf.Lajr.LLM For Claimant; Anthony J. Bern, Esq. For Respondents: Howard W. Larkin, Esq. Statement of Claim filed: Septemb

Arbitration NASD A.WARD National Association of Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street New York. N.Y. 10004 ; — — FAX (212) 858-4389 [n the Matter ot the Arbitration Between Name of Claimant William Garner 01-03078 Name of Respondents Prudential Securities Inc Robert L. Gorman REPRESENTATION For Claimant William Garner i "Claimant"): Kevin R. McDermott. or

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03076 AWARD In the Matter of the Arbitration Between Lawrence I. Stern Claimant vs. Andrew Strasser Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October l, 1991, Claimant Lawrence I. Stern who appeared Pro Se, alleged that Respondent Andrew Strasser of Sutro & Co. , Inc. recommended he purchase ten Put Contrac

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION* INC. CASE: 01-01869 Cletus M. Herold, claimant vs. National Discount Brokers, respondent. ATTORNEYS: Claimant appeared Pro Se, Des Moines, IA. For Respondent appeared Richard Cadigan, Vice-President of Compliance, Jersey City, NJ. DATE FILED: April 12,2001 CASE SUMMARY: Claimant alleged that respondent made a number of unauthorized purchases of Compaq calls in his account and refused to accept a

N.A.S.D. AWARD ' NATKML ASSOCIATION OF SBCDRTTZES DEALERS In the Matter of the Arbitration Between ) j . IBma Qf na-lTnaTit(s) ) ^ : -- "- •' — ^—^ ) ......... Rebecca S. Liptak ) ) ) Cue No. 91-03072 Name of For Claimant, M-WVJI 3. LiptaJc ("LlptaJc") : A. Grant Bohl of db Managsnent, Inc. FOOT F^'IM^K • Mini I *?^wiT8C" T^Himn Bcot!beECB« Inc* ("Sbfiarscu") : Brian Joslyn, Esq. of Boose, Causey, CUclln, et. al. Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Sherman & Rose Garland, JTWROS, Rose Garland as personal representative and Rose Garland as successor trustee 91-03070 Names of Respondents Prudential-Bache Securities Inc. and Randy W. Brandt REPRESENTATION Claimants were represented by Kurt M. Brueckner, Esq. and David Jordan, Esq. of Titus, Brueckner & Berry, Scott

N.A.S.D. Assodancu OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rita Mae Jackson. 91-03069 Nams of Ranscher Pierce Refsnes, Inc. L. Joseph Lanm, Jr. For daimant: Rita Mae Jackson was represented by James C. Woo, Esq. of Green, McReynolds & Reed, F.C., located in San Antonio, Texas. For Respondents: v*nimrth*nr pierce Refines, Inc. was irprrflrnt'ftfl by A. Ferrill, Esq. of Cox & Smith. Incorporated, loc

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03067 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Charles Morse Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers , Inc. on October 11, 1991, Claimant, PaineWebber, Inc. through its in-house counsel, Garry J. Stegeland, alleged that Respondent Charles Morse erroneously received monies when