PUBLIC N.A.S.D. AWARD ASSCdXTKXI OF SECURITIES TTRRTJFRS la the Matter of the Arbitration Between FaineMabber, Inc. Case # 91-01065 William Weiner For dainant: ELyse Adrian, Esq., in-house counsel. Sarah Anderson, Esq., in-house counsel. Bespondent did not appear the bearing. Statement of rn»«hn filed: April 4, daixoant's Submission Agreement signed ant April 2 f 1991. it of Answer or execute a S Date/Bearing Seasicn: Zto

Arbitration National Association of M «n Sacuritiaa Dcators, Inc. H.A.S.D. JWAKD NASO Financial Center 33 Whitehall Street ASSOCIATION OF Stf.TJki'i'"^ DEADERS New York. N.Y. 10004 FAX (212)858-4389 In the Matter of the Arbitration Between Name of *" f lfiin g>Tl t Nathan Fisher 91-01064 Name of Gompany Michael Dominkowitz For daajMnt Nathan Piaber ("CLaiaBnt"): R. Jeffrey More, Esq. of the firm Colenan &

PUBLIC Arbitration a N A S r» aWAPn National Association of N.A.b.u. AWARD Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street New York, N.Y. 10004 In the Matter of the Arbitration Between FAX (212) 858-4389 Name of Clainant Marine Midland Bank N.A. as Executor Of the Estate of Margaret Free Case # vs. 91-01057 Name_of_Resojndents Shearson T>hman Brothers, Inc. Daniel

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the matter of the Arbitration Between Charles R. Wallace, Claimant and No. 91-01055 Prudential-Bache Securities Inc., Respondent Arden H. Berg, Respondent ARBITRATORS AWARD HEARD BEFORE: John L. Evans, Jr. Public Arbitrator 1 . PARTIES: Claimant: Charles R. Wallace Represented by: Walter V. Hines Attorney at Law Respondents: Prudential-Bache Securities, Inc.. Arden H. Berg Represe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Keith Bosek and Anastasia LeCuyer V. 01-01808 Minneapolis, Minnesota Respondents U.S. Bancorp Piper Jaffray, Inc. and Mark Tiegen REPRESENTATION OF PARTIES Keith Bosek and Anastasia LeCuyer ("Claimants") were represented by Lewis A. Remle, Jr., Esq., of Bassford, Lockhart, Trusdell & Briggs, Minneapolis, Minnesota. U.S. Bancorp Piper Jaffray, Inc. ("U.S. Ban

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC CASK #91-01053 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Richard Burger Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1991, Claimant PaineWebber, Inc. tnrougn it's in-house counsel, Garry J. Stegeland, Esq., alleged tftat Respondent Richard Burger failed to pay a debit balance

N.A.S.D. AWARD MATIONAL ASSOCTATICN OF SBCOSITTES TTRRTHtfi In the Matter of tbe Arbitration Between Of Cecilia M. flfriinryij C/P S. Gifts to Minors Act and Michael A. ^IlK**! 91-01051 Mama of ReepgedentiaL Janrty Montcrmery Scoct ir.c. Patricia Nuovo Sari Maxfcs Stephaa Waitneight FOOT dadiDB&t: T^V* n aHtmmf n~m^N¥ij]Rl. pro so For RespoDdeots Jarmey iftxitgooeccy Soott, Inc. r Sari Maxks, and Stepben Waitneigf

NASD M A O r\ 7VT.7311 NATICNAL ASSOCIATION OF SECURITIES DEALERS - In the Matter of the Arbitration Between Name of Claimantfs) W. Ray & R. Allen Lyles 91-01049 Name of Responcfeflt (g \ Shearson Lehnen Hat ton r Inc. Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Claimant: Gilbert T. Davis, Esq., of Davis and Brewer. For Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Otto Doornbos No. 91-01044 Name of Respondents --- -jw- Gruntal & Co. r Inc. Kenneth Scriba REPRESENTATION OP PARTIES For Claimant: Paul J. Sussman, Esq. of The Law Office of Paul J. Sussman. For Respondents: Eric Hutner, Esq., Assistant General Counsel, Gruntal & Co., Inc. CASE INFORMATION State

N.A.S.D. AWARD ASSOCEATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Q£ Daniel F. Greeley 91-01043 PaineWebber, IDC, James Grotz For Claimant and Responrtpnt James Grotz: Mark Briol, Esq. and Gregory Wilmes, Esq. of Briol & Wilmes, Minneapolis, Minnesota. For Respondent PaineWebber, Inc.: Joseph F. Generelli, Esq. of PaineWebber, Inc. , Weehawfcen, New Jersey* Respondents PaineWebber, Inc. and Janes Grotz were origin