Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between pi o f!1flfmflnt TonyYeiter,M.D. Case No. 00-05225 Josephthal & Co., Inc.; Robert Agueli; Robert H. Petersen; Sherwood P. Larkin; Mary Johnstone; Dan D. Purjes; Lawrence R. Rice; and Charles E. Roden Site- Indianapolis, Indiana OF PAffTTES Claimant Tony Yeiter, M.D. ("Yeiter") was represented by Andrew J. Stoltmann, Esq. of the firm — of Maddox Koeller Harge

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mafahal T. Thakkar Claimant CASE #91-02112 AWARD vs. Norstar Brokerage Corp. Respondent CASE SUMMARY In a claim filed with National Association of Securities Dealers, Inc. on July 9, 1991, Claimant Mafahal T. Thakkar who appeared Pro Se, alleged that Respondent Norstar Brokerage Corp., neglected to inform him of their margin polices, and that

N.A.S.iJ. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mafatlal T. Thakkar 91-02111 Name of Respondent Quick and Reilly, Inc. REPRESENTATION OF PARTIES Claimant was represented by Ralph W. Miller, Jr., Esq. of OakBrook, II. Respondent was represented by Joseph Chopey, Esq. of Quick and Reilly, Inc. ( New York, New York. 'CASK The Statement of Claim was filed on

N.A.S.D. NAIICNRL AssoaancNr OF ajjUURiTug DEALERS In the Matter or the Aitoitration Between o f William & Arlene S. Bing vs. NASD #91-02101 Of Pftflnrnryfent-ja Mantgonery Securities Martin S. Cohen For Claimants: Richard D. Ttarmnrt,. Esq., - < 5< * n Francisco, California For Respondents: Brian L. Zagon, Esq., Keesal, Young & Logan, San Francisco, California Statement of daim filed: July 9, 1591 Claimants 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Michael A. Szczesny, MD Carol A. Szczesny vs. Prudential Securities Charles V. Austin Respondent Claimant CASE #91-02099 AWARD • ^ CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 9, 1991, Claimants Michael and Carol Szczesny, who appeared Pro Se, alleged that Respondents Prudential Securiti

N.A.S.D. AWARD NAHCNAL ASSOdKTICN OF SECURITIES DEALERS In the Matter of the Arbitration. Between Name of Claimant fs> Donald E. Morrisette Prudential Bachff Securities, Inc. James F. Meodennall Name of Reqpondnnt (a) HASD Arbitration £13.91-02096 For Claimant: Carl H. Hagens, Esq. of Betts Patterson & Mines, PC For Respondents: Kevin 5. Hurley, Esq., Assoc. General Counsel, Prudential Securities Incorporated. CASE Statement of H

N.A.S.D. AMARD ASSOdATIClT OF SUJURITIES DEMURS la tbe Matter of the Arbitration Between of Richard & T«gna Eggenberger 91-02093 Name of Aster Corporation Janes H. Kuitu Ben Skaar i i JM Claimants: F. Ghat Taylor, Esq. of Fredrikson & Byron, Minneapolis, Minnesota. For Respondents Askar Corporation and Ben Skaarz "Einotny C* Cook, Esq. of Moore, Hostel"! n & Hart, Minneapolis, Minnesota. Par Respondent James H. Kuitu: Jerome

H.A.S.D. AWARD ASSOCXKTICN OP SBCDRICTS DEALERS In the Matter of the Arbitration Between Alan C. Neff Arbitration No. vs No.91-02090 Freanan Welwood & Co. Inc. For Claiaant: Alan C. Neff - In Pro Se For Respondent: Roger L. n i riiiini - Freeman Welvrood & Coqpany, Inc. Statement of Claim filed: July 5, 1991 Claimant's Submission Agreement signed on: Jane 14, 1991 Statement of Answer filed by Respondent on: August 14, 1991 Respondent's S

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02089 AWARD In the Matter of the Arbitration Between William A. Youpel Claimant vs. Shearson Lehman Brothers, Inc. Harry Gaykian Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 5, 1991, Claimant William A. Youpel, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, Inc . and their registered rep

_ ; N.A.S.D. AWARD NKTICNHi ASSOCIATION OP SECURITIES DEAI£RS In the Matter of the Arbitration Between of Marie RolniJc 91-02085 of GKN Securities Corp. William Steven Klein For Claimant: Daniel A. Eigerman, Esq. of Earner & Isaacs/ P.C. For Respondent GKN Securities Corp. ("GRN") : Andrea Goldman, Esq., in house counsel at GKN. For Respondent William Steven Klein ("Klein") : no attorney of record. CASE Claimant filed a Statement