N.A.S.D. AWARD NATIONAL ASSOCIATION. OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sylvia M. Lee 91-04034 Name of Respondents " *"" Shearson Lehman Brothers and Tom High REPRESENTATION For Claimant: Pro Se. For Respondents: J. Thomas Vitt, Esq., of Dorsey & Whitney, Minneapolis, Minnesota. CASE INFORMATION Statement of Claim filed: December 19, 1991. Amended Statement of Claim/Response to the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fred B. Cushman vs. 91-04033 Name of Respondents Barrett Day Securities, Inc. David Berger Barry Schwartz James Weiss Howard Schwartz REPRESENTATION For Claimant: Richard J. Blumberg, Esq. of McLaughlin & Stern, Ballen and Ballen. For Respondents, Barrett Day Securities, Inc., David Berger and Barry Schwartz: Gerald

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama o-f PI ^ -j ma-nt-fl Jan & Iris Goldberg 91-04032 Mama of M Tucker, Anthony & R.L. Day Inc. and Susan C. Grossman REPRESENTATION For Claimants Jan & Iris Goldberg: Stuart Kaufman, Esq. of Fisch & Kaufman. For Respondents Tucker , Anthony & R.L- Day Inc . and Susan C . Grossman: Paul Lieberman, Esq. in-house counsel at Tucker Anthon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Richard V. Warden CASE NO. 91-04030 Name of Respondentfs) Dean Witter Reynolds, Inc. REPRESENTATION For Claimant, Richard Warden ("Warden"): pro se. For Respondent, Dean Witter Reynolds, Inc. ("DWR"): Carol B. Schachner, Esq. of Dean Witter Reynolds, Inc. Statement of Claim filed: December 20, 1991. Claimant's Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ehrhard Bahr Diana Bahr NASD Arbitration No. 91-04028 Name of Respondents Chris B. Johnson E.I. Sales, Inc. REPRESENTATION For Claimant: Michael L. Paule - Investors Arbitration Services, Inc. Woodland Hills, California For Respondent, E.L Sales, Inc.: Thomas M. Zyrek, Esq.- Nyraasicr, Goode, McLaughlin, et al.

N.A.S.D. AWARD NATieNAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Jacqueline Cotsen Name of Respondent Bear, Stearns & Co., Inc. Steven Artebi NASD Arbitration No 91-04024 REPRESENTATION For Claimant: Ann A. Anderson, Esq. - Woodland Hills, California For Respondents: Michele R. Fron, Esq. - Keesal, Young & Logan - Long Beach, California CASE INFORMATION Statement of Claim f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lawrence Phillips and Helen Phillips 91-04019 Name of Respondents =™=™»e====^ . . ^_ Paul Eidsness and John Kinnard & Company REPRESENTATION For Claimants at the hearing: John F. Archer, Esq. of Bangs, McCullen, Butler, Foye & Simmons, Rapid City, South Dakota. For Respondents at the hearing: Ted S. Meikle, Esq. of

..^qn-ass I -=": -N-CNI C.-GG "G '-S057£454Sa - . 33/1 - N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Patricia M. Cosimaao, as Trustee of the Elchison and Associates Pension Trust 91-04015 Name of Respondents Prudential Securities Incorporated; D.H. Blair & Company: Paragon Capital Corporation; Global America Inc.; Michael J. Markowski; Joseph DiCandio; Donna Mills; Anthon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jon A. Travers, (Claimant) vs. SG Cowen Securities Corporation, (Respondent) Case Number: 01-00855 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Jon A. Travers, hereinafter referred to as "Claimant": Kimberiy Zimmer, Esq. and Paul M. Predmore, Esq., Green & Seifter, PLLC, Syracuse, NY. Respondent, SG Cowen Securities Corporation, hereinafter referred to as "Res

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-04012 AWARD In the Matter of the Arbitration Between Sean F. Holland Claimant vs. Kochcapital Steven Wyman James J. Caprio Schneider Securities, Inc. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 18, 1991, Claimant, Sean F. Holland, who appeared Pro Se, alleged that in December 1990 Respondent