N.A.S.D. AWARD MATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between p£ Maria Misol, as Custodian for Helen Misol, Elizabeth Misol, Misol and Adrian Misol 91-01042 Q£ pmi[ « niHont (s) R.G. Dickinson & Go. Bill Goodwin For Claimant: Maria Misol, as Custodian for H^L^n Misol, Elizabeth Misol, ra-rmgn Misol and Adrian Misol ware represented by John D. T*iHam r Esq» of Carney, Hudson, Williams, Blac

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John Foxley, Trustee of Alco Spring Industries, Pensions Plans for Hourly Rate and Salaried Employees No. 91-01036 Name of Respondents Oppenheimer & Company REPRESENTATION OP PARTIES For Claimants: Michael T. Hannafan, Esq. of Michael T. Hannafan & Associates, LTD., Chicago, Illinois. For Respondents: Eugene L. Sma

N.A.S.D. AWARD NKTICNAL ASS&WICN OP SBCURJ.1.US5 In the Matter of the Arbitration Between Of toelia Mayer of & Third- Party np|ti»«ta Presoott, Ball & Turben, Inc. Gulstxeam Financial Associates Third-Party Jeffrey Lieungh Arbitration ^^ National Association of Securities Dealers, inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 91-01035 For Claimant: Alfred A. LaSort

N.A.S.D. AWRRD NAXKURL ASSQdAIICfcl OF SECDRJTXES DEALERS In the Matter of the Arbitration Between of M. Jane Hall anrt TgtHn Hall 91-01034 Name of Kirk Aguer For dalmant: Rctoert Verier, Esq. r Weld, Freeland, Cooper and LettDcky, San Francisco, California. For Respondent Sutro anri Gcnpany: Jeffrey J. Cole, Esq. , and Lyrm A. Starr, Esq., Jackson, Tufts, Cole and Black, San Francisco, California For Respondent Aguer: Bruce Brys

Arbitration National Attoctatton of w a c n zunpn Securittaa Oeators, Inc. N.A.S.D. Awiwu NASD Financal Canter ^_^ ,_,^__ 33 Whitehall Street NATICNAL ASSOCIATION OF SECURITIES DERIVES N^ y^ N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between (Tames J. dauss Agency, Inc. 91-01033 Name of Shearson Tffrvmm BsrotiiarSr lac. Alan fn dalnantsr Nb attorney of record. Ftar Respoodents: Daniel T. Pitcli, Esq. of St

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond James & Associates, Inc. ("Claimant") v. Raymond A. Rodriquez ("Respondent") Case Number: 01-01807 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Raymond James & Associates, Inc., hereinafter referred to as "Claimant," was represented by Deborah J. Howard, Esq., of Raymond James & Associates, Inc., St. Petersburg, Florida. Respondent Raymond A. Rodr

N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between T ) Name of Claimant (a) ) — =^=— ) Jane P. Burroughs ) ) ) Case No. 91-01031 Name of Gruntal & Co., Inc. ) Carl Nicola ) For Claimant, Jane P. Burroughs ("Burroughs") : Michael Casey, Esq. of Casey & Molchan. For Respondent, Gruntal & Co., Inc. {"Gruntal"): W. Reece Bader, Esq. of Qrrick, Harrington & Sutclif fe For Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Clarence and Mary Mann Claimants vs. Allied Capital Group, Inc. William J. Kennedy Respondents CASE #91-01030 AWARD CASE SUMMARY In a claim filed with the National Association of Securitiei Dealers, Inc. on April 3, 1991, Claimants clarence and Mary Mann who appeared Pro Se r alleged that Respondents Allied Capital croup inc. and Wil

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) George Bernardasci ) Claimant ) ) AWARD vs. } ) NASD NO. 91-01029 PaineWebber, Inc. and ) Rick Casterline ) Respondent ) REPRESENTATION Claimant was represented by Norman L. Anthony, Esq. of the firm Anthony & Murdock and respondents were represented by Judy Louie, Esq. of the firm PaineWebber, Inc. SUMMARY OF ISSUES This cas

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Hester Locklair and Dan Locklair Name of Respondents Smith Barney Harris Upham & Co., Inc. John Davidson AMENDED STIPULATED AWARD 91-01026 REPRESENTATION For Claimants, ("the Locklairs"): David C. Smith, Esq. of Allman Spry Humphreys Leggett et al. For Respondent, John Davidson ("Davidson"): pro se. CASE INFORMATION