NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Francis Kogen p Trustee of MBK Profit Sharing Plan Claimant vs. Bruce Bielfield Merrill Lynch, Pierce p Fenner and Smith, Inc. Respondents Case #91-00467 AWARD CASE SUMMARY Pro Se Claimant, Frances Kogen as Trustee, in a claim filed with the National Association of Securities Dealers, Inc. on February 12, 1991, alleged that R

NATIONAL ASSOCIATION OF SECURITIES DEALERS INC. In the Matter of Arbitration Between Viola Curcio, Tony J. Curcio, P.O.A. Claimant vs. A.G. Edwards & Sons, Inc. Richard Laliker and Mike McCuiston Respondents CASE #91-00466 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 12, 1991, Claimant, Viola Curcio by and through Tony J. Curcio, Power of Attorney alleged that Responden

NATIONAL ASSOCIATION OF 'SECURITIES DEALERS, INC, CASE f91-00464 AWARD In the Matter of the Arbitration Between Allen St. Lawrence Claimant vs . Scott Nennig Respondent CASE SUMMARY Allen St. Lawrence, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on February 12, 1991, alleged that Respondent Scott Nennig, while a broker with Thomson McKinnon Securities, Inc. executed two unauthorized trades i

N.A.S.D. AMBCGD AWARD NKTKHAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between > ) Mane of William H. Fergus ) ) ) Case Nb. 91-00463 ) Name of BffspciMtent (s) ) PaineWetber, Inc. ) Dreooel Buxnbam lanfcert, Inc. ) John Asbby ) FOOT Claimant, William H. Fergus, as Trustee en behalf of the William H. Fergus, M.D., P.A. Defined Benefit Pension Plan ("DBP") and the William H. Fergus, M.D., P.A. Target P

:;.A.S.D. AWARD :IATIONAL ASSOCIATION OF SECJRITI2S DEALERS In ~ne Matter of the Arc itr anon Between Name of Raymond G. & Mabel Chanaier ? 1-0046 1 :iams of Respondent I s I Dean Witter Reynolds, Inc. Ton Burke Public/Chairperson Public Claimants were represented by H Thomas Fehn, Esq. Respondents were represented by Wendy R. Robinson, Esq. This natter was initiated by a Statement of Claim filed with the National Association of

Arbitration N.A.S.D. AWARD NATIOtffiL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Consolidated Arbitration Betaroon Carol S. Hooker Weedy Becker Carolyn Z. Cunneen of Consolidated Gases 9$-fl&*€^ 91-0472 and 91-00473 Merrill Lynch Pierce Fenner & 3nith Inc Michael, P. Rooney, Jr. National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212} 858

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Maria Wortham, Trustee, on Behalf of the Duggar One Trust, (Claimant) v. Trad^star Investments, Inc., (Respondents) Case Number: 01-00719 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Maria Wortham, Trustee, on Behalf of the Duggar One Trust ("Duggar One Trust"): William S. Shepherd, Esq. of the firm Shepherd & Smith, P.C. located hi Houston, Texas.

N.A.S.D. AWARD NA2TOKAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Of Pioneer 'Technologies Group, Inc. 91-00459 Name of Resnnavlpnts qppenheimer & Co., Inc. James W. Forsythe, Jr. For Claimant: Leonard S. Goodaan, Esq. of Arent, Fox, Kintner, Plotkin & Kahn. For Respondents s Joseph C . Pickard, Vice President, Legal Departjnent, Cppenheinier & Co., Inc. case Statement of Claim filed: February 8

- NJLS.D w NKTICNAL ASSOCIATION OF SBCDRmES In the Matter of tfce Arbitration. Between Ihrne of Arlise Angel 91-00457 its Gcuntal & Co., me. Carl Nicola Artottfatton National Auoctation of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (2121858-4389 For dainant Arliae Angel practitioner. ("daianent"): Susan N. Perkins, a sole Ftar RaspcDodents Gnmtal & Co., Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant (s) Margaret C. 91-00454 Name of Responrlpfit(s) Dean Witter Reynolds, Inc. -'• •*• PaineWebber Incorporated Steven Grau For Claimant: Margaret C. Bodkin was represented by Roland J. Santrm-i , Esq. of Erickson & Sederstrcm, P,C., Omaha, Nebraska. For Respondents: Dean Witter Reynolds, Inc. and Steven Grau were represented b