NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Charles E. Anderson Claimant vs. CASE 191-00862 AWARD Kochcapital Philip C. Mullan Darren M. Marks Stanley Rosenstock Respondents CASE SUMMARY Charles E. Anderson f by his attorney Linda M. Granata, Miami Beach, FL f in a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1991, alleged that

N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Between Patricia A. Badgers Name of Respondent; Shearson Lehman Button, Inc. 91-00858 For Claimant: vicki Kuftic Home, Esq. of Schuchert Sheerer, P.C. For Respondent: Foster S. Goldman, Esq. of Klett, Lieber, Rooney & Schorling. Claimant filed a Statement of Claim on March 15, 1991 and executed a submission agreement on March 12, 1991. Respondent filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Q£ Sara T. Henry Sara T. Henry as Executrix of the Estate of Arden F. Henry 91-00855 Name of Respondents Prudential Bache Securities, Inc. Leo H. Cook For Claimants: Frank W. Virgin of the law firm of Slaughter & Virgin, P.C. For Respondents: Paul W. Stivers, Esq. of the law firm of Rogers & Harrhn. case Statement of Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jerry Rudolph and Millie Rudolph vs. 91-00854 Name Of Benefit Plan Securities Rey Fr jjimersdorf For Claimants: David Peterson, Esq., 847 Fifth Street, Santa Sosa, CA 95404 For Respondents: James Sullivan, Esq., Four Qnbarcadero Center, Suite 1450, San Francisco, CA 94111 Statement of Claim filed: March 18, 1991 Claimants' Submission Ag

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert W. & Pamela E. Hanson Claimants vs. First Fidelity Capital Corp. Robert Catoggio Otra Clearing Corp. Respondents SUMMARY CASE #91-00851 ANAfiD In a claim filed with the National Association of Securities Dealers, Inc. on March 15, 1991, Claimants, Robert W. & Pamela E. Hanson, who appeared Pro Se , alleged that Respondents

NASB N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of t-.ha Arbitration Between Cf Margie Kinsey NanjeofRfispandfint Shearson ^^man Rutton, Inc. 91-00844 Far Claimant: Ronald Kinsey For Respondent: Tnerese Cbringer of Neal Gerber & Eisenberger cass Statement of maim filed: March 13, 1991 daimant's Submission Agreement signed on: March 7, 1991 Statement of Answer filed by Respondent on: April 30, 1991

PUBLIC NATIONAL ASSOCIATION OP N.A.S.D. AHASD DEAI£RS In the Matter of the Arbitration Between Name of Claimant (a) Dorothy Plory 91-00839 A.G. Boards & Sens, Inc. Wallace Maclaafcey Arbitration National Association o SftcurttiM Dealers, Inc NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 For Claimant: Anthony J. Earn, Esq. For Respondent: Hose H. Schindler, Esq. of A.6. Shards &

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In^'the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. CASE *91-00833 AWARD Tim J- Harrington Respondent CASE SUMMARY Dean Witter Reynolds, Inc. by its counsel, Dominick J. Dorata, Esq. f New York, NY, in a claim filed with the National Association of Securities Dealers, Inc. on March 15, 1991, alleged that Respondent Tim Harrington has failed to sati

N.A.S.D. 2WBD o£ Afa.ua and 91-00826 Join G. **i ••••••! £ Go., Hoc. Beep OF Claimants Panfrin and Jeanne AhM were represented by Terrence J. Fleming, Esq. of Lindquist & Vennum, M4nm< Mpr^Ha f Minnesota. Respondents John G. Klunard & Oo. r Inc. and Kendall Smith were represented by Ted S. Meikle, Esq. of Predrikson & Bryan, Minneapolis, Minnesota* case In a Statement of Halm filed with the National Association of

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00755 Nina Swann, claimant vs. Preferred Securities Group, Inc. and Ted Malkasian, respondents. ATTORNEYS: For Claimant appeared Jeffrey P. Coleman, Esq., of the Coleman Law Firm, Clearwater, FL. For Respondent Preferred Securities Group, Inc. appeared Carole R. Bernstein, Esq., Westport, CT. Respondent Ted Malkasian appeared Pro Se, Atlanta, GA. DATE FILED: February 14, 2001 ~~~