N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Robert H. Hardy, M.D. and 91-02168 Name of Respondents Prudential Securities ,~T!Tc. Donald S. Robbins REPRESENTATION OF PARTIES Claimant was represented by Max D. Crittenden, Esq. and A.L. Rhodes, Esq. of Rhodes, Heatherly & Myers, Abilene, Texas. Respondent Prudential Securities , Inc . was represented by Corbet

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00789 Joni J. Becker, Claimant vs. Robert F. Kasel, Respondent. ATTORNEYS: Claimant, Joni J. Becker, appeared pro se, New York, NY. For Respondent, Robert F. Kasel, appeared Peter Bon Viso, Esq., in-house counsel for Merrill Lynch, Pierce, Fenner & Smith, Inc., New York, NY. DATE FILED: February 16, 2001 CASE SUMMARY: Claimant alleged that respondent was negligent in making unsuita

ARBITRATION DEPARTMENT NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. 515 EAST Us OLAS SUITE 1100 FORT LAUDERDALE. FL 33301 305-522-7391 FAX 305-522-7403 N.A.S.D. AWARD Ou« MisS'CN: P°CV::E c: , NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Adolfo Olloqui Name of Respondents Shearson Lehman Brothers, Inc. Alberto Alvarez Alejandro Lacayo 91-02167 REPRESENTATION For Clai

N.A.3.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Allen and Michelle Gaggini Lorraine Cowgar 91-02164 Name of Respondents The Ohio Company Dennis 0'Brien REPRESENTATION For Claimants Allen & Michelle Gaggini and Lorraine Cowgar ("Claimants"): Anthony V. Trogan of Weisman Trogan et al. For Respondents The Ohio Company ("Ohio") and Dennis O'Brien ("O'Brien"): James

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Doris A. Weinberg 91-02163 Name of Respondents Smith Barney Harris Upham & Co., Inc. (n/k/a Smith Barney Shearson) Charles W. Rainwater REPRESENTATION For Claimant Doris A. Weinberg ("Claimant"): Jack M. H. Frazier, Esq. of the law firm of Reasoner, Davis & Fox and Katherine H. Kalinowski, Esq. of the law firm of Baber

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Standard Press, Inc. Profit Sharing Plan Name of Respondents Norris & Hirshberg. Inc. Dan L. Weinberg Robert A. Rosenberg Newton Osborn 91-02160 For Claimant: For Respondent: REPRESENTATION James Stuart Youngblood, Esq. Respondents Newton L. Osborn and Robert A. Rosenberg were represented by Richard W. Jones

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02157 AWARD In the Matter of the Arbitration Between Sandy Butterfield Claimant vs. Stephen Nelson Conrad Respondent CASE SUMMARY In a claim filed with" the National Association of Securities Dealers, Inc. on July 15, 1991, Claimant, Sandy Butterfield, who appeared Pro Se, alleged that Respondent Stephen Nelson Conrad purchases unsuitable securities for her investment needs. C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Adelaide Neptune vs. Claimant Providence Securities Thomas DePetrillo Respondents Case #91-02156 AWARD CASE SUMMARY Claimant Adelaide Neptune, pro se r in a claim filed with the National Association of Securities Dealers, Inc. on July 15, 1991, alleged that Respondents Providence Securities and Thomas DePetrillo were responsible for an o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jerome B. Bonat CASE #91-02153 Name of Respondent The Placement Group Barry Schneck REPRESENTATION For Claimant Jerome B. Bonat: John Halebain, Esq., of Wechsler, Skirnick, Harewood, Halebain & Feffer. For Respondents The Placement Group and Barry Schneck: Max Folkenflick, Esq., of Folkenflick and McGarrett. CASE IN

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00785 Edwin L. Goss, Executor for the Estate of Elizabeth S. Goss, Joanne G. Shirk, and James M. Goss, claimants vs. Prudential Securities Inc. and David Newman, respondents. ATTORNEYS: Claimants appeared Pro Se through Edwin L. Goss, Four Oaks, NC. For Respondents appeared Marcia L. Williams, Esq., in-house counsel, New York, NY. DATE FILED: February 5, 2001 CASE SUMMARY: Claimants