t . PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01646 AWARD In the Matter of the Arbitration Between Carl Bakal Claimant vs* Elliot Nadel Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 29, 1991, Claimant Carl Bakal, who appeared Pro Se, alleged that Respondent, Elliot Nadel, while employed by Moore & Schley, misled him into purchasing Class A Warr

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (s) Nina L. Barwick Name of Bcnnie Albert Bruce M. Alster Arbitration National Association of Securities DMtorv, Inc. One East Sroward Boulevard Suite 1000 Ft. LauderdaJe, Florida 33301 (306) 522-7391 Case No. 91-01643 For Claimant, Nina L. Harwich ("Harwich"): Michael R. Casey, Esq. of Casey and Mslchan

N.A.S.D. AWARD ASSOCIATION OF SKUUkiTlfcB DEALERS In the Matter of the Arbitration Between j~~ Name of Claimant- fgl ) Mary A. Noble ) ) Case Ho. 91-01628 Name of Respondent(s) ) A.G. E&ards & Sons, Inc. ) Max L. Crawford ) Claimant, Mary Noble ("Noble 11 ) was Initially represented by Vincent A. Leto, Esq., of LaBarbera & Canpbell and subsequently by Jess Conn, For Respondents, A.G. Edwards & Sons, Inc. ("A.G. E&ards 11 ) an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Roland and Dorothy Shimel 91-01625 Name of Respondents Wakefield Financial Corp. O.K. Scott & Co., Inc. REPRESENTATION For Claimants: The Claimants appeared pro se. For Respondent G.K. Scott & Co., Inc.: George Kevorkian of O.K. Scott & Co., Inc. The Respondent Wakefield Financial Corp. did not attend the hearing. CASE INFORMATI

Arbitration N.A.S.D. AWARD National Association of Securities Dealers* Inc. NKnOBL ftSSOCTATICN OP SBOJRTnES DEMURS 33 W° teh^le^"^ New York. N.Y. 10004 In the Matter of the Arbitration Between FAX (212)858-4389 Name Of na-imani- Malcolm E. Thompson 91-01624 Name of Respondents Shearson t^hma-p Brothers, Inc. David C. Donaldson, Jr. For Claimant Malcolm. E. Thompson ("Claimant") : Susan N. Perkins, a sole practitioner. For Respon

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tuyetle Crouch, Claimant v. T.D. Waterhouse Investor Services, Inc., Respondent Case Number: 01-01864 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Dennis R. Villavicencio, Esq. Law Offices of Dennis R. Villavicencio Carlsbad, California For Respondent: John L. Erikson, Jr., Esq. Jones, Bell, Abbott, Fleming & Fitzgerald, L.L.P.

N.A.S.D. AWARD 2RTICHAL ASSOCIATION OF SECURITIES In the itotter of the Arbitration Between of 91-01614 Of Blunt Ellis & loewi IncsorporatecT CF PB*crir%3 Claimant was represented by Diane Nygaard, Esq., Overland Park, Kansas. Respondent was represented by Michael H. Schaalman, Esq. of Quarles & Brady, Milwaukeee, Wisconsin. The Statement of Claim vas filed en or about May 23, daimant* s Submission Agreement signed on May 6, 1991. St

Arbitration ASSOCTATICW CEP N.A.S.D. AWARD DEAI£RS In the Matter of the Aitoitration Between NajneofClaiinant Henry N. National Asaodatton of S«curitte* DMtorv, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212)858-4389 CASE NO. 91-01597 Advantage Investment Service For Claimant Henry N. Canpbell ("dalnant") : Joseph H. Spiegel, a sole practitioner. For Respccdent Advantage Investment Se

N.A.S.D. AWARD IffiTICNRL ASSQCIXnCN OF SECURITIES DEAXERS In the Matter of the Arbitration Between NaniBof Claimants John H* anr| Josephine C. Hughes Name of Respondents R.J. Steichen & Co., Inc. Patrick P. Kelly 91-01596 JiJL 3 0 ' C For Minnesota* ? Mai i ana Q, HiUce, Esq. of Ldndguist & Vennum, Minneapolis, For Respondent R.J. Steichen & Go. , Inc. : F. diet Taylor, Esq. of Fredericteson & Byron, Minneapolis, Minnesota*

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) William Vogelbaugh 91-01595 Name of Respondent^) Shearson Lehman Hutton, Inc. Michael Bruce Hall Virgil Rorer Joseph A. DelDuca REPRESENTATION For Claimant, William Vogelbaugh ("Vogelbaugh"): Joel Goodman, Esq. of Goodman and Nekvasil, P.A. For Respondents, Shearson Lehman Hutton, Inc. ("Shearson"), Michael Bruce