N.A.S.D. AWARD ASSOdATICK OF SHllH-LTIES DEMJ3RS In the Hatter of the Arbitration Between Nans of dadsoant Alice Flynn 91-03875 Of Dean Witter Reynolds, Inc. E. Judsaa Booth f Alice Flynn was represented by Robert D. Mitchell, Esq. of Galhut & Associates of Fhoeoiz, Arixrm. RaBpondentSr Dean Witter Reynolds, me* and E* JUdscn Booth ware represented by Curt H. Maeller, Esq. of Dean Witter Reynolds, lac. o£ San C8SB stataieat o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Ellen Goddard NASD Arbitration No.91-03874 Name of Respondent(s) Prudential Securities, Inc. Great American Securities, Inc. Bryant Longwell REPRESENTATION For Claimant: Lionel Z. Glancy, Esq., Beverly Hills, California For Respondent Prudential Securities: PatriciaFitzpatrick,Esq.,PradentialSecurities,New York, N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential-Bache Securities Inc. n/k/a Prudential Securities, Inc. 91-03873 Name of Respondent Robert Cohen REPRESENTATION Claimant, Prudential-Bache Securities, Inc. n/k/a Prudential Securities, Inc. ("Prudential") was represented by Newman R. Porter, Esq. and Bradley P. Balson, Esq. of Lewis and Roca, Phoenix, Arizona.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeffrey M. Ruston 91-03872 f Name of Respondents Legg Mason Wood Walker. Inc lames Buehler REPRESENTATION For Claimant Jeffrey M. Ruston ("Claimant"): Christopher M. Houlihan. Esq. of the law firm of Roemer and Featherstonhaueh. P.C. For Respondent Legg Mason Wood Walker. Inc. and James Buehler ("Respondents"): Gerald

STIPULATED AWARD NASD Dispute Resolution, Inc NASD-DR Case No. 00-05283 In the Matter of the Arbitration Between: Avalon Research Group, Inc. Claimant, v. Alan P. Jacobs, et al., Respondents. Representation of Parties Claimant Avalon Research Group, Inc. ("Claimant" or "Avalon"), and Third-Party Respondent Michael Margolies: Joseph A. Ingrisano, Esq., and Jeffrey S. Jacobovitz, Esq., Washington, D.C. Respondents Alan P. Jacobs, Rober

PUBLIC NATIONAL ASSOCIATION OF SSC T JRITIES IEALERS , INC. In the Matter cf Edwin J. and ?atr vs. Keith K. Duneon tne Arbitration Between icia Bushier Claimants Resoondent CASE #91-03868 AWARD CASE SUMMARY In a claim filed with nhe National Association of Securities Dealers, Inc. on December 5, 1991, Claimants Edwin J. and Patricia Buehler who appeared Pro Se, alleged that December 6, 1988 Respondent Keith Dunton

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECORITTES DEALERS In the Matter of the Arbitration Between Of Steven Shapiro ) ) 91-03867 ) Of Paaprmrfottt (S) ) Investors Associates Inc. ) David Shapiro ) For Claimant, Steven Shapiro: Michael K. Wolersky of Kutak Rock & Campbell. For Respondent, Investors Associates Incorporated: pro se. For Respondent, David Matthew Shapiro: pro se. Statement of Claim filed: December 6, 1991. Claimant's Su

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Calvin & Dolores Mason 91-03860 Of F.N. Wolf & Co., Inc. Richard T. Sullivan Robert Clarfc Smith For Claiinants Calvin aTlH Dolores Mason (" Claimants ") : Daniel A. Ball, Attorney at For Respondents F.N. Wblf & Co., Inc. ("F. W. Wolf •) , Richard T. Sullivan ("Sullivan") a^ Robert dark Snith ( rt Staith°) : Jame

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kenneth Hewyard Driggers Name of Respondents Luther C. Thompson Ralph Kelly 91-03858 REPRESENTATION For Claimant: Kenneth Heyward Driggers appeared pro se. For Respondents: Luther C. Thompson appeared pro se. Ralph Kelly appeared pro se. CASE INFORMATION Statement of Claim tiled: October 14, 1991. Claimant's Sub

PUBLIC N.A.S.D. AWARD ASSOCIATION OF SBCDRITIES DEALERS In the Matter of the Arbitration Between Name of Ralph P. & Mary Turchi Q£ PaineWefcber, Inc. Dcminick M* Schina 91-03857 Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimants: For Respondents: Leonard Spear,* Esq. Edward Werner, Esq. Statement o