N.A.S.D. AWARD SffiTONRL ASSOCnnCN OF SECURITIES DEUERS In tbe Matter of the Arbitration Between of Charles Sdbwab & Co., Inc. 91-02714 . Earrell & GO. , IHC. by Brigid A. Lane, Esq. of Brill, Sinex & Stepfaenson, located in Houston, Teras. For T3«rrg y ^t/O?™tP T '- rr! *•*""*•' Jack A. Farrell was represented by Delia H* Stephens, Esq. of Houston, Texas. CRSB Statement of ^a^Tn filed: August 30 r

•:: • - vy ur. , 2I.A.S.D. 3WRKD , !Zl-l--'^ ... V >! NKTIOfflL ASSOCIATION OF SECCRTTIES DEALEBS \\ • :q j § j^2 ' * In she Macter of the Arbitration Between to " 1I01W li 1 of na-JTnanc " " TpATiON-CHiC - Karen A. Ifetwal 91-02713 Donna G. Garltcn Garlton a«rf Associates, Inc* IntezCap Financial CdrDoracicai John R. Frye, Jr. For Claimant Karen Netwal: Ibomas A* Jodd, Esq. of Lambert & Boeder, P.A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Samuel Rea Jewell and ' 91-02709 - - "~ -'- -!»"•. Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert Brennan REPRESENTATION OF PARTIES Claimant Samuel Rea Jewell was represented by Lael S. DeMuth, Esq of DeMuth & Kemp, Denver, Colorado. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. a

N,A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Jfetter of the Arbitration Between of Claimant Jane Anne Ellis Name of Respondents Tnng Grove Trading Conpany Carolyn S. Bishop No. 91-02708 For Claimant: James J. Moylan, Esq. of Janes J. Moylan and Associates, Ltd. , Chicago, Illinois, For Respondents: Corri D. Fetman, Esq* of Levin & Ginsburg, Ltd., Chicago, Illinois. cass Statement of Claim filed: August 28, 199

PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter- of the Arbitration Between: Marvin G. Frank Claimant CASE t91-027OT vs. Global America, Inc. Eric P. Jones Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 29, 1991, Claimant, Marvin G. Prank, who appeared Pro Se, alleged that on December 27, 1990 Respondent, Eric P. Jones, a registered representativ

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Southwest Securities, Inc. and SWS Financial Services, Inc. f7k/a Brokers Transaction Services, Inc. and 01-00798 Dallas, Texas Name of Respondents Robert D. Rogers REPRESENTATTON OF PARTIES Southwest Securities, Inc. and SWS Financial Services, Inc., f7k/a Brokers Transaction Services, Inc. ("Claimants") were represented by Corbet F. Bryan

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE /91-02695 AWARD In the Matter of the Arbitration Between Elizabeth J. Manning Claimant vs. Invest Financial Corp. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 29, 1991, claimant Elizabeth J. Manning, who appeared Pro Se, alleged that Respondent Invest Financial Corp. is responsible for the loss of principal the Claima

N.A.S.D. AWARD NKTICUAL ASSOCIATION OF SBCORITE2S DEALERS In tbje Matter of the Arbitration Between Name of Claimant Deborah Cove/ vs. NASD #91-02687 NnzieofResDoncjents Donaldson, T-n-FUn £ Jenrette For dainant: Rcbert J. Adolpih, Esq., of Adolph & Smith, P.S., Seattle, For Respondents: Michael lawson, Esq., of Steefel, Levitt & Weiss, San Francisco, Califoznia.. OM5B Statement of rialm filed: August 29, 1991 daiioa&t's Submission A

H.A.S.D. NATIONAL ASSOCIATION OF StfJUKlT * ***** DERI£RS In the natter of the Arbitration. jmH 91-02681 Hatcxin Lynch, Pierce Feoner & 3n±tlilnc Cynthia Cargill Hayden Pnnn Uxvestinsnt Affflo?1ntf*ff Dennis D. Dean C.E. Dean and Associates, Inc. Jena than S. Fbr ^Ha< t«mtat Cheryl P. Hunter, Esq. of TfaMMit'^na & Hunter, Cklahcma City, Cklahcnfli* Fbr Respondents Merrill Lynch, Pierce Penner & aaiith, IDC. and Cynthia Cargill Hay

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02677 AWARD In the Matter of the Arbitration Between Michael Schneider Claimant vs. Edward Green Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 29, 1991, Claimant Michael Schneider, who appeared Pro Se, alleged that Respondent Edward Green of the firm Whitehouse & Moore Investments, which is now out of bu