PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-04083 AWARD in the Matter of the Arbitration Between Myron Kail Claimant vs. Carl Roba Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 24, 1991, Claimant Myron Kail by and through his counsel Thomas W. Donohue, Esq. of Titus, Brueckner & Barry, Scottsdale, Arizona, alleged that as .an unsophisticated

N.A.S.D. AWARD NATICKRL ASSCCianCN OF SECURITIES DEALERS In the Matter of the Arbitration Between NofClainant p .^g^^mn NASD Arbitration 91-04080 Shearson r^j-amm Brothers p Inc. Cross - For Claimant: Mark C. Riedel, Esq. - Dickson, Carlson & For Respondent: Shearsca T^»«m Brothers - m**hm>i M. decs, Esq. - Keesalr Young & Logan For Cross-Respondent: Marty Grosaoan - Robert Wayne Pearce Esq* - Tuamffr & Faazce, P. A. Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Salvadore Tony Ricca Constance Joan Ricca va. 91-04076 Name of Respondent(s1 McClurg Capital Corporation David McClurg Bruce A. Porter REPRESENTATION For Claimants: William J. Moriarty, Esq., Larkspur, California For Respondents: Jonathan Polland, Esq. , Grif finger. Freed, Heinemann, Cook and Foreman, San Franci

PUBLIC ^F SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Wendley K. Kekauoha Claimant AWARD vs. Madison Chapin & Associates, Inc OTRA Clearing, Inc. Bill Kellman Respondents CASE 391-04075 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 24; 1991, Claimant Wendley K, Kekauoha who appeared Pro Se, alleged that in July 1990 Respondents Madison Chapin & As

Arbitration N . A . S . D . AW ARD National Association of Securities Dealers. Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 New York. N.Y 1 0004 In the Matter of the Arbitration Between FAX (2 12)858-4389 N'ame of Claimant ferome Feldman 91-04073 Name of Respondent M.H. Meverson £. Co.. Inc. REPRESENTATION For Claimant: Walter D'UII. Esq., Sole Practitioner. For Respondent: Lawrence J. Toscano. Esq. of Heller. Horowitz & Feit.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anne E. Bundy 91-04071 Name of Respondent Goldman, Sachs & Co. REPRESENTATION For Claimant: Laurence J. Eisenstein, Esq. of the law firm of Covington & Burling. For Respondent: Franklin Poul, Esq. of the law firm of Wolf, Block, Schorr & Solis-Cohen. CASE INFORMATION Statement of Claim filed: December 23, 1991.

N.A.S.D. AWARD NATICNAL ASSOCIATION OF ^iJLURi'l' ' ***•* DEAUSRS In the Matter of the Arbitration Between of T. vs. NASD #91-04070 Q£ Camelot Investment Corp. Klaus Andrae Poor Claimant: Cfaucfc FOOT Pa*T*^nrton^q" ICLBUS ^Tv^-^ft r-ia^r agagi^Ari M«HM>1 f and CeDDBlot Corp. Statemeat of fn«^ filed: Decenber 24, 1991 dalmant's fli**iri g?^ «^" Agreaztent signed: PftfTiri'i*" 1 19 f 1991 Statement of Answer filed

N.A.S.D. CONSENT AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James Benhart No. 91-04065 Name of Respondent Michael Beeler - **- CflSB INFORMATION Statement of Claim filed:. December 23, 1991. Claimants 1 Submission Agreement signed on: November 18, 1991. Joint Statement of Answer filed by Respondents Michael Beeler and First Choice Securities on: April 1, 1992. Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-00860 Cam Mai Goetz and Harold L. Goetz Name of the Respondents) Hearing Site: Houston, Texas Merrill Lynch, Pierce, Fenner, & Smith Inc. And Larry E. Barker REPRESENTATION OF PARTIES Claimants, Cam Mai Goetz and Harold L. Goetz. Hereinafter collectively referred to as "Claimants": Christopher J. Bebel of Shepherd, Smith & Bebel, located

N.A.S.D. AWARD NAHCNRL ASSOCiaTICN OF SECORITIES DEALERS In the Matter of the Arbitration Between of Juan E. and Genoveva Favela vs. NASD #91-04064 of Christopher Neil & Coapany, Inc. Gerald W. For dadnant: na^man^g represented themselves FOOT Onristopher Weil & Caa^anyt No appenrnnce Gerald W. Earner: Respondent rcproaontod hlmsffil f , with special .appearance by David 0* Cantu, Esq., Gordcn, TSaomas, Hcoeywell, Malanca f