N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Donald Roger Klein and 91-02424 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and David A. Stulberg REPRESENTATION QF PARTIES Donald Roger Klein ("Claimant") was represented by Anthony V. Trogan, Esq., of Weisman, Trogan, Young & Schloss, P.C., Birmingham, Michigan. Merrill Lynch, Pierce, Fenner & Sm

N.A.S.D. AWARD NATICNRL ASSOCIATION OF SfcUJklTlKS DEALERS In the Matter of the Azbitration Between ) ) of Kenneth H. & Frances Kortright ) ) ) Caa* No. 91-02410 Name of -Barh* Securities Inc. ) Melvin Harris ) Gerald Ballan ) For Claimants, Kenneth and Frances Kortright ("the Kortrights") : Gerald V. Wilsh, Esq. of the law offices of Gerald V. Walsh. For FffipfTytonta, Prudential aa^Em Securities f Inc. ("Prudential") ,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Michael Leeba Family Trust, Claimant v. M.L. Stern & Co., LLC and Michael Stephen Butsko, Respondents Case Number: 00-05233 Hearing Site: San Diego, California Nature of Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimant: James C. Krause, Esq. Krause & Kalfayan San Diego, California For Respondents M.L. Stern &

N.A.5.D. AWARD NATIONAL ASSOCIATION OP SECURITIES rmrafl In the Matter of the Arbitration Between f\f Gregory & Nella Lovinsky- 91-02400 Bear Stearns & Company Aimed For Claimants : Kenneth J. Fisher, Esq. of Kenneth J. Fi shear Co., L.P-A. For Respcodents: Nictolaa P. lavarone, Esq. of Bellows and Bellows. Statement of maim filed: August 1, 1991. Sutaission Ai ji >'»IIBIII i signed on: July 29, 1991. Joint Statement of Answer fi

N.A.S.D* AWARD NATICNKL ASSOCIATION OF SECORITIES DERLERS In the Matter of the Arbitration Between of Hedvig Hrlcafc vs. NASD #91-2398 Of Whale Securities Cccpany Craig Blitz For Claimant: Reed H. Benent, Esq. For Respondents: John P. Bevilacqua, Esq OffiB Statement of fna-im filed: August 5, 1991 Claimant's Submission Agreement signed: July 16, 1991 Joint Statanent of Answer filed by Respondents on: September 4, 1991 Subnois

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William Hilton Claimant CASE #91-02397 AWARD vs. Roscoe Blue and Omni Capital Markets, Inc. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 5, 1991, Claimant, William Hilton, who appeared Pro Se, alleged that Respondents Roscoe Blue and Omni Capital Markets, Inc. solicited him to

PUBLIC 0 N.A.S.D* AMAKD NXTICNMi ASSOCIATION OP SHI Ik I TIES Tn Mange of Claimant S. Richard Stem Leo Rishty f IDC. AfbttiaUon National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Case # 91-02392 For Claimant, S. Richard Stern ("Stern"), Daniel w. Krasner, Esq. of the law firm of Wolf HaiAamg«-^in Adler Freeman &. Hezz. For

N.A.S.D. AWARD ~j NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC... ; _ _ In the Matter of the Arbitration Between Name of Claimant Gerald B. McKeever and 91-02389 Names of Respondents Shearson Lehman Brothers. Inc. and William Crowe REPRESENTATION OF PARTIES Claimant. Gerald B. McKeever was represented by Michael Salcido, Esq., Scottsdale, Arizona. Respondents, Shearson Lehman Brothers, Inc. and William Crowe were represent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Beano Benima 91-02387 Name of Respnndpn.t(s) Jesup, Josephthal & Co Inc. Evelyn Wolf son Claimant Benno Benima appeared, pro se. Respondent Jesup, Josephthal & Co., Inc. was represented by Joseph Schmidt of their New York office. Respondent Evelyn Wblfson appeared pro se. CASE Statement of na-im filed: August 1, 1991. Claimant's Sub

N.A.S.D. AWARD ASSOCIATICN OF SBCDRITIES DEALERS tie Matter of the Arbitration Between Mane ofc^rmaritts) Cynthia L. & John W. Msyfcew 91-02381 Name Of Poqry.mHont(3) Johnston, r^an^n & Q^ Tnff!| William anith Claimant: Jtorris J. Levin, Esq. of Washington, D.C. William Smith appeared pro se. case Statanent cf Claim filed: August 2, 1991. Submission Agreement of the Claimants signed on: July 31, 1991. Stats-sent cf An