N.A.S.D. AWARD NAHCNAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Betweai Of Frances R* PrM-^Hng NASD Arbitratica Ho.91-03810 Name of Respondent Merrill Lynch, Pierce, Fenner &. Smith, Inc. Mark Mathes Troy Schaben For CladiDant: claimant >• ny f -maga^t-ia^ herself - For Respoiadents: Michael E. Olney, Esq., Merrill Lynch, Pierce, Fenner & New Yozfc, New York, Statement of (Tla-im filed: August U r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Aleric D. & Jane C. Rainville Case No. 91-03807 Name of Resoondemfsl Shearson Lehman Hutton, Inc. Michael Megeath REPRESENTATION Claimants, Aleric D. Rainville Jr. and Jane C. Rainville ("the Rainvilles"): were JEQ se. For Respondent: Shearson Lehman Hutton, Inc. ("Shearson") and Michael Megeath ("Megeath"): Cory Hohnbaum,

7UKH34-1S92 15:04 FSQM NASD-flPB! TPPTI O- 1-CN! C.QGC *D N.A.S.D. AWARD NATIONAL ASSOCIATION 0? SECURITIES DEALERS la the Matter of the Arbitration Between Mama of Claimant Francis Ann Edelman No. Name of Kennedy Cabot & Co,, Inc,, and Marc Pink 91-03805 RBPRBSSSTOTIOflr OF PARTIES Claimant, Francis Ann T*3ft1nian of Scottsdale, Arizona , appeared pro se. Respondents r Kennedy Cabot fe Co., inc.. and Marc Pink were r

N.A.S.D. AWARD ASSOcxKncti OF SBCDRXT^S DEMSIS In the Matter of the Arbitration PUBLIC Martin Wlnkler, M.D., P.C. Pension Plan 91-03804 Prudential Securities/ lac. For Claimant: Martin Wlnkler. Poor Respondent Prudential Securities, Inc. ("Respondent") vas represented by Gerard Kowalaki, Esq. in-house counsel at Prudential. Statenent of HalTn filed: De«jqi*.>fff 2, 1991. Claimant's g*^H»Httg^rr^ Agreement signed en: November 29, 1991. St

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lynn A. Pestle, DDS, MS Money Purchase Pension Plan Claimant CASE #91-03796 vs. Linsco/Private Ledger Corp. Richard Ford Respondents AHAKD CASE -SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 3, 1991, Claimant, Lynn A* Pestle, DDS, MS, Money Purchase Pension Plan, who appeared Pro Se

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between - Name of Claimant Michael David Hargrove 91-03793 Name of Respondents Madison Chapin Associates William Kellman Mark Allen Bolender CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 2, 1991, Claimant Michael David Hargrove, who appeared Pro Se, alleged that on or about July 1

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William V. Grizinski, (Claimant) vs. American Express Financial Advisors, Inc. and Michael Bryan, (Respondents) Case Number: 01-00838 Hearing Site: Cincinnati, Ohio REPRESENTATION OF PARTIES Claimant, William V. Grizinski, hereinafter referred to as "Claimant": Michael C. Eckert, Esq., Eckert & Eckert Co., L.P.A., Springboro, OH. Respondents, American Express Financial Advisors,

+ : the Matt~r :i the Arb; ;r_acha" Ca vi d Har r ina t c: .ion Between espondent CASE #91-03783 AWARD CASH SUMMARY - V^ - ' «n a ciaim iiied with tn Dealers, Inc. .:n December Harrington, who appeared rro Baker Watts, Inc. misled National Association of Securities 2, 1991, Claimant Jonathan David Se, alleged that Respondent Ferris, him into purchasing Perpetual Financial orp., for his retirement account, whic

b N.A.S.D. AWARD )? SECURITIES DEALERS, , ZHSA^LSL' he Matter cf the Arbitration Between -'. r]£Q p Name cf Claimant J ''. Charles L. Stephens ?!TpAT lTi N and yi- Name of Respondent Shearson Lehman Brothers , *£nc . PRPRESENTATION OP PARTIES Claimant was represented by Robert S. Travis, Esq. of Cantey Hanger, Fort Worth, Texas. Respondent Shearson Lehman Brothers, Inc. was "presented g Flynn, Esq. and Rudolf c Ro

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. NansofClAiinant orrayne R NASD Arbitration No.91-03774 Name ofReancmriPTits fisrrxiniyncir^ISrce Fenner & Sndth, IDC. Will tarn R. Erickson For Claimant: In Pro Se For Respondent: Mark G. Interieri, Esq. - Bergman & Wedner, Inc. Statanent of Halm filed: December 2, 1991 Claimant's Submission Agreement signed CDS Nuvcui^or 22 9