NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00650 American Fronteer Financial Corporation f/k/a RAF Financial corporation, Claimant vs. Kevin Dudley, Respondent. ATTORNEYS: For Claimant, American Fronteer Financial Corporation, ("Claimant"), appeared Thomas D. Birge, Esq., and Carla B. Minckley, Esq. of the firm Birge & Minckley, P.C., Denver, CO. Respondent, Kevin Dudley, ("Respondent"), did not respond to the Statement of Clai

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Helen Logan, (Claimant) vs. Lehman Brothers, Inc., Paul Puskuldjian, and Keith Geismar (Respondents) Case Number: 00-00011 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Helen Logan, hereinafter referred to as "Claimant**: Gerald Jay Resnick, Esq., Deutsch, Resnick, Green & Gramigna, Springfield, NJ. Respondents, Lehman Brothers, Inc. ("Lehman"), Paul

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Henry & Jeanne Maier Claimants vs. PaineWebber, Inc Lyle E. Moss Loren Lucas Respondents CASE #91-02118 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 10, 1991, Claimants, Henry & Jeanne Maier, who appeared Pro Se, alleged that on August 27, 1990 Respondent Loren Lucas, an

N.A.S.D. AWARD NMICNRL ASSOCIATION OF SECURITIES DE3UJ3RS In the Matter of the Arbitration Between of First National Bank of Farmington, New Mexico, a Nationally Chartered Bank 91-01972 Name_o£_ResTxaidenta Mortgage Government Securities, Inc., a Texas corporation; M. G.S.I, Securities, Inc. , a Texas corporation; Stan E. Golub For daimant: First National Bank of Fannington, New Mexico was represented by G. Ttonas Fleming, III, Esq. of J

Arbitration N.A.S.D. M35IF.LEU AWARD « ASSOCIATION OF SECORITTES DEALERS In the Matter of the Arbitration Between Name of Claimant (s) James F. MrKeon 91-01970 Name of Respondent (s) Stephen Dunn Robert A. Veideraan National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Claimant James F. McKeon appeared pro se. Respondents Stephen Dunn anr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dorothy Goodstein and 91-01969 Name of Respondents Prudential Securities, Inc.~ *° William Bradley REPRESENTATION OF PARTIES Claimant was represented by Jeffrey M. Brenman, Esq. of Brenman, Raskin, Friedlob & Tenenbaum, Denver, Colorado. Respondents were represented by Lisa S. Kahn, Esq. of Davis, Graham & Stubbs, Denve

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Dr. Joan Bonner Conway 91-01966 Name of Respondent Janney Montgomery Scott, Inc. REPRESENTATION For Claimant Dr. Joan Bonner Conway: Stuart C. Goldberg, Esq. and Seth Lipner, Esq. of the law firm of Deutsch and Lipner, Esqs. For Respondent : Anthony D. Reagoso, Esq. of the law firm of Reagoso and Associates. CASE INFORMATION

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01963 AWARD In the Matter of the Arbitration Between Imagene Fawcett Claimant vs. Prudential Securities, Inc. Rolf Larson Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 25, 1991, Claimant, Imagene Fawcett by and through her counsel Virginia T. George, Esq., of Albert, Holland & Schwartz, Fort Worth, Texas, allege

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, nf the f.laimaTits PasR Mnmher. 01-00781 Leonid Shpector and Marina Shpector, JTWOS Namfi nf the Respnnriftnte Hearing Site: Washington, D.C. Merrill Lynch Pierce Fenner & Smith, Inc., George L. Balboa, Ray T. Moreau, and Lee D. Weiss. OF P ARTIFS Claimants, Leonid Shpector ("L. Shpector") and Marina Shpector ("M. Shpector 7 *). hereinafter collectively ref

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between nf Howard A. and Mildred T. Beeman Case No. 91-01962 Name of Respondent^ Prudential-Bache Securities Inc. Daniel Pesut For Claimants, Howard and Mildred Beeman ("Beeman"): Richard W. Groner, Esq. , of Snyder, Groner & Schieb. For Respondent, Prudential Securities, Inc. ("Prudential"): James Capezzutto, Esq., of Prudential. For Responden