NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01497 AKAKD In the Matter of the Arbitration Between Rudolph F. Tenore Claimant vs. PaineWebber, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 14, 1991, Claimant Rudolph F. Tenore who appeared Pro Se, alleged that Respondent PaineWebber, Inc. failed to inform him of the payment due date for the purchase of Growth

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bernadette M. Blixt, Claimant and Counter-Respondent v. TD Waterhouse Investor Services, Inc., Respondent and Counter-Claimant Case Number: 01-01847 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Bernadette M. Blixt ProSe Oxnard, California For Respondent/Counter-Claimant: Brian G, Mulherin, Esq. Jones, Bell, Abbott, Flem

N.A.S.D.-AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Paul W. Boyles 91-01496 Name of Responflpnt(s) NCNB Brokerage Services Claimant, Paul w. Boyles appeared pro se. For Respondent, NCNB Brokerage Services, Charles M. Berger, Esq., In-house Counsel. cass Statement of Claim filed: May 14, 1991. Claimant's Submission Agreement signed on: May 9, 1991. Statonent of Answer filed by

® N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Donald & Aretta Handa Name of Respondent f s } ) ) Merrill Lynch Pierce Fenner & 3nith Inc } Tilncia C. Barlcw Case No. 91-01494 Claimants, Donald and Aretta Ha

N.A.S.D. AMAKD NATICNAL ASSOCIATION OF SHUUR1T1ES DEALERS In the Matter of the Arbitration Between } ) f Claimant (s) ) Aladar Paczier and J. Michael Fitzgerald ) ) 191*01492 Maine of Rwmr^nt (a) ) —=_==« } Prudential Securities Inc. ) For Claimants, Aladar Paczier ("Paczier") and J. Michael Fitzgerald ("Fitzgerald"): Robert E. Gordon, Esq. of McGee, Jordan, Sbuey, Gordon, Morris & Doner, P.A. Fbr Respondent, Prudential Securitie

N.A.S.D. AMKKD ASSOCffinCK OP SHJURITIKbi DEAIERS In the Matter of the Arbitration. Between of Jill P. Glosser vs. Of Nbrstar Brokerage Corporation Arbitration National Association of Securities Dealers, inc. l Center I Street New York, N.Y. 10004 FAX (212) 858-4389 Case # 91-01489 For Claimant, Jill P. Glosser, Paul H. Titus* Esq. and Barbara B. Kfcaravitz, Elsq. of MansoBrai Cludxricn & Titus. For Reapandent

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Linda L. Cass. Individually and as Executor of the Estate of John L. Cass vs. Case #91-01484 Name of Respondents Shearson Lehman Hutton Harvey Wasserman Donald Ackerman REPRESENTATION For Claimant, Linda L. Cass, individually and as Executrix of the Estate of John L. Cass, Earl Cantwell, Esq. from the law firm of Jaeckle, Fleishman and Mu

Arbitration N.A.S.D. AWARD w ASSOCIATION OP SECDRITIES DEM£RS In the fetter of the Arbitration Between of CL Joseph Facella, Alice Pacella Jnnnph Paoella as Custodian et al.. DeBaln/fiacella Inc. aqp.Ftofit Sh.Trust VB. National Anoctatton of SacurttlaaOiaHrt t lnc> NASD Financial Center 33 Whitehall Strert NewYonXN.Y.1CXX)4 FAX (212) 858-4388 Cbse # 91-01479 For daimmts, Joseph Pacella, Alice Bacella, et

N.A.S.D. AHARD NATIONAL ASSOCIATION OF SECDRITIBS DEALERS In the Matter of the Arbitration Between Of Theresa Cahill and Francis Weber 91-01477 Name of Respondents Prudential Securities Inc Steven Sless RBPRSSKNTATION For Claimants Theresa Cahill and Francis Weber ("Claimants"): Anthony J. Horn, a sole practitioner. For Respondents Prudential Securities, Inc. ("PS") and Steven Sless ("Sless"): Marc Durant of PS. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEAl£RS In the Matter of the Arbitration Between ) Of riaHTi»nt(8) Kelvin Schwartz Name of Respondent (e) Key Warren Keeper Securities Group, Inc Gulf stream Financial fUETULBI Case No. 91-01469 For Claimant, Melvin Schwartz ("Schwartz 11 ): William Doyle, Esq. of William P. Doyle, P.A. For Respondents, Reaper Securities Group, Inc. ("Kenper") and Gulfstream Financial Asso