N.A.S.D. AHAKD ASSOCIATION OF SECURITIES TTOTBRS the Matter of the Arbitration Between „,. 0 -, JUL o U Of ^^a^1Ta^fft Anthony J. DiStefaryp 91-03579 Q£ First National Brokerage Services Inc. Jtoeritrade, Inc. dainant: Bruce H. Brodtey, Esq. of Qnaha, Neteastai. FOOT Rjespoodents: Patrick B. Griffin^ Esq. of KutaJc Rode & rfrnrhen, doaha, Ntibrasica* Statauent of n»Hm filed on or about: August 22, 1991. Amended Statan

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03575 AWARD In the Matter of the Arbitration Between PaineWebber Incorporated Claimant vs. Stereo Connection Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers , Inc. on November 13, 1991, Claimant, PaineWebber Incorporated by and through their in-house counsel, Garry J. Stegeland, Esq., alleged that on or about May 30, 1990, Responden

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Joan Martin Claimant and 00^05270 Dallas, Texas Merrill Lynch, Pierce, Fcnner & Smith, Inc. and Nicholas Papamichael Respondents REPRESENTATION OF PARTIES Joan Martin ("Claimant") was represented by Richard C. Fooshee, Esq., Law offices of Richard Foshee, New York, New York. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Nicholas Papamichael ("Respondents")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Harpel Advisory Company, Inc., (Claimant) vs. Salomon Grey Financial Corp. and Emmett A. Larkin Co., Inc., (Respondents) Case Number: 00-00535 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Harpel Advisory Company, Inc., hereinafter referred to as "Claimant": Brooks R. Burdette, Esq., Schulte Roth & Zabel LLP, New York, NY. Respondent, Salomon Grey Fi

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03574 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Eric Schneider Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 13, 1991, Claimant PaineWebber, Inc. through its in-house counsel, Garry J. Stegeland, Esq., alleged that Respondent Eric Schneider, a customer of the Claiman

Arbitration N.A.S.::. AWARD JATICNAL ASSOCIATION CF SECURITIES DEALERS In the Matter of "he Arbitration Between Name of Claimant Winifred Kaverstick National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 CASE #91-03566 Name cr Respondent Shearson -ehman Brothers, Inc. REPRESENTATION For Claimant Winifred Haverstick: Vicki Kuftic Home, Esq. of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roy Lindgren and Galen Skramstad, as Trustee of Lindgren & Enquist, D.D.S. Profit Sharing Plan ^_ No. 91-03559 Name of Respondents Summit Investment Corp. G. James Spinner Robert Paymar Name of Third-Party Respondent Kevin Miller REPRESENTATION OF PARTIES For Claimants: James R. Anderson, Esq. For Respo

PUBL/C Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. NATIONAL ASSOdAXICN OF .SMLIJkiTlKS DEALERS NASD Financial Center _ 33 Whitehall Street In the totter of the Arbitration Between Of m Farcufc Solljnan 91-03556 Name of Recpgigent Q & R Clearing Qorp. For Claimant: Stuart Kaufman, Esq. of Pisch ft Kaufman.. For Respondent: Thonas J. McCabe, Esq., a sole practitioner. Statement of Claim filed: Nbvent

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Estate of Ossie L. Sandefur by Richard P. Scaietty, the Personal Representative No. 91-03553 — Name of Respondents _ . ^ Shearson Lehman Brothers, Inc. Mark S. Greenway REPRESENTATION OF PARTIES For Claimant: Richard P. Scaietty, Esq., Independence, Missouri. For Respondent Mark S. Greenway: Ray E. Sousiey, Esq. of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. PUBLIC CASE #91-03538 AWARD In the Matter of the Arbitration Between Shiva Kumar Akula Claimant vs. Si Timberman Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 11, 1991, Claimant Shiva Kumar Akula", who appeared Pro Se, alleged that Respondent Si Timberman of Donaldson Luftkin & Jenrette, bought and sold 1,000 shares o