N.A.S.D. AWARD NATIONAL ASSOdKTICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Q£ Harry Friedman 90-03073 of Stuart James Conpany, Inc. Robert Allan Magnan Far Claimant: Renan I. Sugarman, Esq. of Fishman &. Merrick, Chicago, Illinois. For Respondent Stuart James & Go*: John F. MCBride, Esq. of Hart & Trinen, Denver, Colorado. For Respondent Robert Allan Magnan: Clifford J. Hunt, Esq. of Riden, Birle & Kietner,

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeffrey p. Cude and Nancy' A. TTmlrlnn 90-03071 HflPP^PPPfci 8 i Sutro & Co., Inc. and Sidney Meyers For Claimants: Jeffrey P. Cude and Nancy A. Redden of 8140 winthrcpe Street, Oakland, California 94605 For Respondents: Eric G. Wailis r Esq. of Wallis, Crosby/ Heafey, Roach & May, 1999 Harrison Street, 22nd Floor, Oakland, Californ

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Roger A. Malcolm and Stacy C. Malcolm and 01-00712 Phoenix, Arizona Name of Respondents New England Securities Corp. Peter R. Kolesar REPRESENTATION OF PARTIES Roger A. Malcolm and Stacy C. Malcolm ("Claimants") were represented by Mark D. Chester, Esq., Scottsdale, Arizona. New England Securities Corp. ("Respondent New England") was represe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nfflff «pf fljfr'JTnant-f s) Iforris L. Durden, Jr. 90-03067 Phillip HUBS Heard before: Name Public /Indus try EHwood F. Oakley, III, Esq. Public Arbitrator Church Yearley Public Arbitrator Iforris R. Copeland Industry Arbitrator This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers,

NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. CASE $90-03065 AWARD David Block Respondent: CASE SUMMARY PaineWebber, Inc. by its counsel, Patrick J. Howley, Esq., in a claim filed with the National Association of Securities Dealers, Inc. on October 30, 1990, alleged that Respondent, David Block, has failed to rectify the debit balance in his customer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration between Kenneth A. and Mary H. Strasser Claiman and ^s^ ' r 4ty Merrill Lynch, Pierce, Fenner & Smith, Ihc. ^^Q^ C.T. Herman aad Blair Naylor "X^ QQ Respondents / REPRESENTATION OF PARTIES Claimants were represented ! by David F. Cunningham, Esq. of White, Koch, Kelly & McCarthy of Santa Fe, New Mexico. Respondents were represented by J

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS, INC. In the >fetter of the Arbitration Betvreen Mama of Claimants s) Use Curto 90-03053 Mane of Itofl|Xi|d6nfc(gl Otra Clearing, Inc. Financial Clearing & Services Corp. Christopher Roberts Robert Hasho Heard before: Richard W. Vallario, Esq. Public Arbitrator Paul M. Rosenthai Industry Arbitrator Ira S. Newman, Esq. Public Arbitrator Claimant r Use Curto, ("C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-03049 AWARD In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Gene Marrotte Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 30, 1990, claimant, Dean Witter Reynolds, Inc., by and through its attorney Dominick J. Dorata, Esq., New York, NY, alleged that Respondent Gene Marrotte deposite

03-15-1993 03'19PM FROM NRSD Arbitration/Chicago TO 15049284925 P.05/07 N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Maine of Claimant John D. Mineo 90-03047 Name of Respondents A.G. Edwards & Sons, Inc. Robert Welch RgPRESENTATIOt? For Claimant:: William Gamble, Esq. and Ben Schupp, Esq. of Killing, Benson, Woodward, Hillyer, New Orleans, Louisiana. For Respondents: Rose M. Schin

Arbitration NATIONAL ASSOCIATICN OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Name of Claimants William Taylor & Marian Clark JTWRDS vs Name of Financial Estate Planning Southmark/Envicon Capital Corp. Philip Roy, Sr. Herbert Patrick Pollitt National Association of Sacurttiet Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 90-03045 Heard before the arbitrators of the