N.A.S.D. AWRRD OF Ijtf.VPJ' 1 ' 11 *^ DEAUSRS the Matter of the Arbitration Between of M.K. Saperstein £UD TTEE FBO H*X. Saperstein IMD Defined Sgiefit Flan dated 9/30/83? Mark Saperstein FBO Abby Saperstein CTIMA/AZ, and Mark Saperstein, individually. - ^1-03209 of 05 Securities Clearing Corp. Mark Malenfant Larry Biltooce Equities & Securities Ltd. daimant, Ifiudc Saperstein, individuallyf appeared ggg^^g and 3

PUBLIC Arbitration National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall street New York, N.Y. 10004 FAX (212) 858-4389 III the Matter of the Arbitration Between Name of Claimants Aldo Caputo 91-03208 Name of Respondents Merrill Lynch Pierce Fenner & South Inc Scott Steiner Moriarty For Claimants: Jeffrey E. Michelson, Esq., of the law

Arbitration tt.A.S.D. AWARD National Association o Securities (testers. Inc ASSOCIATION OF SSLUKITIES DERLEKS NASD Financial Center 33 Whitehall Street la che Matter cf the Arbitration Between. FAX (2121 858-438^ o f Marrcn 91-03206 "or Claimant: Trante J. Evangelist, Esq. of Onnsten & Evangelist. For Raspcndent: Paul R. Williams, Esq. of Schupbacti, Williams & Pavone. Statement of Claim filed: October 14, 1991. Claimant's Sutmission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sharon Hart N, Name of Respondents Dean Witter Reynolds Inc. Joseph Schmidt Consolidated with Name of Claimants Dean Miller NASD Arbitration No. 91-03196 Name of Respondents Dean Witter Reynolds Inc. Joseph Schmidt REPRESENTATION For Claimants: Keith A. Ketterling, Esq. - Stoil, Stoll, Berne & Likti

pi IPI NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03194 AWARD In the Matter of the Arbitration Between Robert & Elizabeth Zeller Claimants vs. MCW, Inc. Paul J. Anderson Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 11, 1991, Claimants Robert & Elizabeth Zeller, through their counsel, James M. Ziegler, of Humphrey Farrington, et al., Independe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Hugh B. Helm, Claimant Vs. Legacy Securities Corporation, and William S. Waits, Respondents. Case Number: 00-05249 Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimant Hugh B. Helm ("Helm") was represented by Barry D. Hunter, Esquire, of Frost Brown Todd, LLC, Lexington, Kentucky. Respondents Legacy Securities Corporation ("Legacy"), an

N.A.S.D. AHAKD NATIONAL ASSOCIATION OF SECURITIES raaTJgpg In the Matter of the Arbitration Between Of B.F. Kelley, Jr., individually and as Trustee under the Will of Baa F. Kelley, , and Mildred L. Kelley 91-03187 - - #*• Name of PaineWefcber, inc. and William B. Michaels, Jr. For Claimants: Janes M. Sturdivant, Esq. and Timothy Crimpy, Esq. of Gable & Gotwals, Tulsa, Cfclahana. For Respondent PaineWefctoer, Inc: Edward Werner,

N.A.S.D. AWARD HATICNAL ASSOCIATION OF SECURITIES DEALERS of Claimant (s) ) = BB = S ^ ) Jill Pando, as trustee ) ) Case No. 31-03182 ) Name of Respondent (s) ) ======*====^ } Prudent ial-Bache Securities Inc. ) Louis Bitfard Wblletweber ) For Claimant, Jill Pando, Trustee ("Panda") : Susan Yoffee, Esq. of Planing, Haile, Shaw & Gundlach, P. A. For Respondents, Prudential Securities, Inc. ("Prudential") and Louis

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ronald & Kathryn Johnson Claimants vs. Shearson Lehman Brothers, Inc Kevin Burns Respondents CASE #91-03180 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 10, 1991, Claimants, Ronald & Ka'thryn Johnson, who appeared Pro Se, alleged that Respondent, Shearson Lehman Brothers,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, In the Matter of the Arbitration Between ," Name of Claimant J Michael Skurich ^ ^ , ^ 91-03179 and. "" ••"•*"•*>»•"••'•••• ..• ...—— Name of Respondent — Lawrence J. Meis * ^ REPRESENTATION OF PARTIES. Claimant Michael Skurich was represented by Noel Guardi, Esq., Denver, Colorado. Respondent Lawrence J. Meis appeared pro se. CASE INFORMATION The Statement of Claim was f