N.A.S.D. AWARD NATIONAL ASSOCIATION OP ?>ij IJRJ'IMKS! DEALERS In the Matter of the Arbitration Between Letitia Baxter and Lois Sears 91-00679 Ifamo of Respondents Smith. Barney Harris Upham & Co., Inc. Victor DiLeo FMflTKS Claimants were represented by Robert G. Hancock, Esq. of Hopp & Associates, TI*I 8 IfJIIK^B lit * CD. Respondent Smith Barney Harris Djohaxn & Co. , Inc. was represented by Susan E. Harkins, Esq. of Smith Barney Harri

ONATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of C1aimants Blanche Lazar and Jadzia Weissalz vs. 91-00678 ORDER Name of Respondents Prudential Bache Securities, Inc. John E. Mullins IT IS HEREBY ORDERED, Pursuant to Section 43 of the NASD Code of Arbitration Procedure ("Code"), the undersigned arbitrators hereby order that Claimants Blanche Lazar and Jadzia Weissalz are liable, jointly and

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. CASE #91-00677 AWARD In the Matter of the Arbitration Between Jack Weimer Claimant vs. Brad (Todd) Ruderman Peter Pelton Philip H. Waxelbaum Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1991, Claimant Jack Weimer, who appeared Pro Se, alleged that Respondents Brad (Todd) Ruderman, Peter Pelton and Philip Waxelba

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between DAVID L. JONES, Claimant, - against - LAIDLAW HOLDINGS, INC., LAIDLAW HOLDINGS ASSET MANAGEMENT INC., LAIDLAW EQUITIES, INC., WALTER H. BAUR , MICHAEL F. FAHEY , JR., HUGH REGAN, GOTTFRIED von MAYERN- HOHENBERG, DAVID N. BOTTOMS, JR. and WALTER L. TWISTE, Respondents . STIPULATED AWARD X WHEREAS, on or about February 27, 1991, David L. Jones (

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Charles H. Vessely, III and 01-00738 Omaha, Nebraska American Express Financial Advisors, Inc. REPRESENTATION OF PARTIES Charles H. Vessely, III ("Claimant") was represented by Michael B. Kratville, Esq., Omaha, Nebraska. American Express Financial Advisors, Inc. ("Respondent") was represented by Jon C. Furgison, Esq., Nash & Edgerton, Hermosa Beach, California.

N.A.S.D. AWARD ASSOCIATION OF SSCORITCES DEALERS In the Matter of the Arbitration Between Of Alan C. Stuart A.C. Stuart and Conpany, Inc. AWARD vs. NASD #91-00673 of Respondents PaineWebber, Inc. Jackson & Curtis aka PadneWebber, Inc. Scott Ozer Par f*i a •< *"«"*"«? Michael Paule For Respondents: Judy Louie,. Esq. QSB Statement of Haltn filed: March 4, 1991 ria-iTnar^fl* Suimission Agreements signed: February 26, 1991

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant. William R. Frey 91-00671 Name of Respondents Ogilvie & Taylor Securities Corporation Donald Ogilvie Claimant William R. Frey appeared Respondent Donald Ogilvie appeared pro se individually and on behalf of Ogilvie & Taylor Securities Corporation. Statement of Claim filed: on or about March 3, 1991. Claimant's Sutmissio

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Helene E. Paul 91-00668 Name of Respondents Shearson Lehman Hutton, Inc. - - *- Lawrence J. Debord CF FA Helens E. Paul was represented by Robt. D. Montgomery, Esq., Robt. D. Mdntgcmery & Associates, P.A. Albuquerque, NM. Shearson Lehman Brothers, Inc. and Lawrence J. Debord were represented by Joseph S. Schuchert, Esq., Keesal, Young & Logan, lo

N.A.S.D. JWBKD NATIONAL ASSOdATICN OF SECURITIES In the Matter of the Arbitration Between. pf Clifford Sandberg Nb. 91-00666 NaneofRespaDdfint.s ^^M^^^^=S— ^ _-. ,^ Securities, Inc. UKUi«oa< »ri-jy r 11 w* For Claimant: James H. Andersaa r Esq. of flaiTncn & Brintanan, P.A. Poor EespondentB: Kinberly Uoger, Esq. of Prudentlal-Banhe Securities, Inc., New York, Hew York. cass Statement of Claim filed: March l r 1391.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantf s'. Rikki Sue Selby 91-00665 Name of Resrondem: i, s \ Shearson Lehman Button, Inc. Carol Miller George Publ ic / Chairman Public Industry Claimant was represented by H. Thomas Fehn, Esq. of Fields, Fehn and Sherwln. Respondents were represented by Joseph S. Schuchert, Esq. of Keesel, Young and Logan. This