N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Martin A. Bell 91-02189 Name of Respondents Prudential-Bache Securities^. Inc. , now known as Prudential Securities Incorporated; Bear, Stearns & Co., Inc.; Michael H. Novick; Peter D. Matthews REPRESENTATION For Claimant: Martin A. Bell was represented by Tarell A. Friedley, Esq. of the Ahlberg Law Firm, Ltd., loca

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00790 First Union Securities, Inc., claimant/counterclaim respondent vs. Ian K. Stowers, respondent/counterclaim claimant. ATTORNEYS: For Claimant appeared Renan I. Sugarman, Esq., in-house counsel, Chicago, IL. For Respondent appeared Mark R. Wietstock, Esq., Ventura, CA. DATE FILED: February 16, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay an overdraw defic

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Inanda J. Mohr Claimant vs. Rick LaBare Respondent Case 191-02187 AWARD CASE SUMMARY Pro Se Claimant, Inanda J, Mohr, in a claim filed with the National Association of Securities Dealers, Inc. on July 17, 1991, alleged that Respondent Rick LaBare of Shearson Lehman Brothers, Inc. provided misleading information concerning Lifetime Government

NJUS.D. NATICNAL ASSOdATICN OF SECOJOTES la the Matter of the Arbitration Be to re m Cf Gerald & Lois Ahraos 91-02185 DurJc Davan Boettcher & Company appeared Respondents ware represented by William D. Nelson, Esq. of O'Dorlslo & Rflpacn, Denver, CO* statemeot of Ha-im was filed en or about July 17, 0591. Claimant's Submission AgreeDent signed on July 11, 1991. Statement of Answer filed by Respondents on or about ftrfrffiifrftr 5

PUBLIC _ _— ^M^M Arbitration NASD ——• « N.A.S.D. AWARD "a* 10 ™ 1 Association of Securities Dealers, Inc. ~~~~, ,««~ NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall street ^_^_ _ New York, N.Y. 10004 in the Matter of the Arbitration Between FAX (212)858-4389 Name of Claimant Arthur A. Pachter vs. 91-02184 Name of Respondent Smith Barney Harris Upham & Co., Inc. For Claimant: Andrew L.

NATICNAL ASSOCIATICH OF SHUUKITIBS DEALERS In the Matter of the Arbitration Between Name of Claimant (a) A.G. Etoards & Sens, Inc. Name of Respondent (s) Scott A. Stevenson Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case No. 91-02182 For Claimant, A. G. Boards & Sons, Inc. ("A. G. EAujards") : Michael Gates, Esq. of A. G. Bern

&.&.5.D. AWARD ASSOdATICN OF SBCDRITIES DEAI2ZS In the Matter oz the Arbitration Between Nabil A. Khabbaz 91-02181 Charles Sdtaab & Ccnpany, Inc. Mark Lawrence Vickie Seitner Jbtsi ZKH GF EMTTIKB dainant vaa represented by Rex J* Ridawur, Eaq. of Dircks, Bldeoour, tfonnan and Maoek, Davenport, Iowa. Respcodents were represented by Soott W. Ptowkes, Esq. of Kirfcland & Ellis, Chicago, Illinois. Ito Statement of maim was filed on o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Amvets Money Pruchase Pension Fund 91-02178 Name of Respondents PaineWebber, Inc. Amos Mitchell REPRESENTATION For Claimant: Leonard J. Henzke, Esq. of the law firm of Lehrfeid, Canter & Henzke. For Respondent: Joseph Generelli, Esq. CASE INFORMATION Statement of Claim filed: July 16, 1991. Claimant's Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Margaret Seated ) ) vs. ) Case No: 91-02170 ) Name of Respondent's) ) - ) Adtvest, Inc. ) Bruce L. mniHn ) Charles Obsusin ) For Claimant, Margaret Seatcn ("Seaton"): Russell L. Forkey, Esq. For Respondents, Advest, Inc. ("Advest"), Bruce L. MlnTrln ("Minfcin") and Charles Cbsusin ("Obsusln"): Jack Stein, Esq. of Stein,

N.A.S.D. AWRRD NATIONAL ASSCdATICN OF SECORICT2S DEALERS In the Matter or the Arbitration Between Of Darene L, Lewis Personnel r IDC. NASD Arbitration No. 91- 02169 Q£ Brothers Albert Franklin Dunlap For claimants: Jeff Dennis Ferentz, Esq., anri Kyle Kennerly, Greenbaum and Ferentz, Newport Beach, California. For Respondents: Kathryn L. Krebis, Esq., Keesal, Young and Logan t Long Beach, California. Statement of Haim