NJLS.D. -AWARD ASSOCIATION OF SECDRITIES DEALERS In the Matter of the Arbitration Between NSmeofCladjDantfs) Tim gfriiMTi na ghnh4n 91-01206 Sheaxson Hb-Shun Joseph Molinari TVtn ghnVi< n f Whittier, Rfispondents: Mark W. Helscn, Esq., Keesal, Young & Logan, Ijoog Beach, Caliromia Statanent of Claim filed: April 16, 1991 Amended Statement of Claim filed: May 20, 1991 ma4TTBm< -gi Submission. Agreement signed on: April 2

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01203 AWARD In the Matter of the Arbitration Between Anne V. Brennan Claimant vs. Brian Shanahan and Investacorp, Inc. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 16, 1991, Claimant, Anne V. Brennan, who appeared Pro Se, alleged that Respondent Brian Shanahan failed to follow her instructions to liquidate her

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ghaus M. Malik Claimant vs. Hassan Growney Securities First Montauk Securities Corporation and Ed Harris Respondents CASE #91-01201 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 16, 1991, Claimant, Ghaus M. Malik by and through his counsel Sher M. Akhtar, Esq., Sole Practitioner, R

N.A.S.D. AWARD NATICHAL ASSOCIATION CEP SECURITIES DEALERS In the Matter of the Arbitration Between of PaineWebber, inc. vs. NASD AWftRD #91-00178 Name of Respondent J. Donald Sullivan case PaineWebber, Inc., in a rlalm filed with the National Association of Securities Dealers, Inc. en April 15, 1391, and ampntert on January 15, 1992, as a paper case, alleged that TWrpnmVnt Sullivan breached the terms of the agreement betMeen the parties

N.A.S.D. AWARD ASSOCIATION OF HhlLVIP'T 1 ^ DERLERS, INC. In the Matter of the Arbitration. Between Of John M. Bif fie and Johnny M. Bif fie Jtten 91-OU71 Alex BTCMI & Co. Inc., National Bank of Ccmnerce, O IIIUHI ce Investiuent Cuj.puiat'i on , Penning Division of Donaldson, and TJI^HTI St Jenrette Securities Corporation Hams of Ttilrd-Partv Respondent Say W. Barney, Jr. Claimant, John M. Bif fie vns represented by R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert and Elizabeth Perry 91-01165 Name of Respondents Shearson Lehman Brothers, Inc. Joel Selden For Claimants Robert and Elizabeth Perry ("Claimants"): David E. Robbins, of Kaufmann Gildin et al. For Respondents Shearson Lehman Brothers. Inc. ("Shearson") and Joel Selden ("Selden"): Arthur C. Schupbach. of Schupbach Wil

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Dennis C. Gaddy Dennis C. Gaddy, SEP IRA Case No. 01-01817 Names of Respondents A.G. Edwards & Sons, Inc. Parks Brown Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Dennis C. Gaddy ("Gaddy") and Dennis C. Gaddy, SEP IRA ("Gaddy IRA"), hereinafter collectively referred to as "Claimants": Daniel I. Maclntyre, Esq. and Samuel T.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECORHTES DEAIERS In the Matter of the Arbitration Between of Verona Schlueter 91-01164 Q£ Bosworth Incorporated Vfayne Smith Far Claimant: Pro Se. For Respondents : James K . Tangrtrm^ n t Esq. of Dorse/ & Whitney, Minneapolis , MJT Statement of en an™ filed: April ll r 1991. Claimant's Sutmissicn Agreement signed on: April 10 r 1991. Joint Statement of Answer filed

Arbitration ® N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of fjjlaimant William R. Ifantague 91-01161 Name of Pftapfyiriant'. - . -*~ Quick and Reilly, Inc. National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimant: William R. Montague ("Claimant") represented himself. For Respo

N.A.S.D. AWARD ASSOCIATION 00? SBCDRITIES In the Matter of the Arbitration Between Audrey Atkins 91-01156 HHTOB of Respondent Button, IOC. *'-**- daimant, Audrey Atkins was represented by Victoria Graver, Esq. of North & Barren, Phoenix, Arizcoa. Button, Inc. n/k/a Shearson Lehman Brothers, Inc. was represented by Deborah M. Fine, Esq. of Lewis and Boca, Phoenix, Arizona. Statanent of Claim was filed with the NASD on April 11, 1991.