Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name John W. Logan Case No. 00-05216 Gordon H. Thompson; and Brent G. Thompson Hearing Site: Nashville, Tennessee PAPTTF.S Claimant John W. Logan ("Logan") was represented by Nader Baydoun, Esq. of the firm of Baydoun & Reese, located in Nashville, Tennessee. Respondents Gordon H. Thompson ("G. Thompson") and Brent G. Thompson ("B. Thompson") were represente

< S> N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Arbitration National Aaaodation of Securities Dealer*, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Carolyn Rauch Tipping Kama of PaineWettoer, Inc. Martin Sloane Case No.91-02052 Claimant, Carolyn Rauch Tipping ("Tipping") was pro se. For Respondent, PaineWe

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joel D. Kurtz "9PD2050 Name of Respondents William McMahon Dean Witter Reynolds. Inc. REPRESENTATION OF PARTIES For Claimant at the hearing: William A. Erharr. Esq. of Marvin & Erhart, Anoka, Minnesota, For Respondents at the hearing: Scott E. Richter, Esq. of Popham Haik Schnobrich & Kaufman, Minneapolis, Minnesota. CA

Award 91-02049 Page 1 of 3 N.A.S.D. AWARD NAITCNRL ASSOdKTICN OF SECURITIES DEALERS In the Hitter of the Arbitration Between Of L. & gl 4 TahoJ-fri J, 91*02049 Of A.G. Boards & Sons, IDC. James Lome Begbie GF EBBTD3S Claimants were represented by David J. Stephenson, Esq. of Bucholtz, Bull & Swing, Denver, Colorado. Respondent A.G. Bctards & Sens, Inc. was represented by William S. Port, Esq. of A.G. Etfeaxds fie Sens, Inc.,

2T.A.S.D. AWftKD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant Curt M. Peterson NASD Arbitration No. 91-02046 Maine of Respondent Harper McLean & Co. For Claimant: In Pro Se For Respondent; Michael P. Rodin Esq. - Puget Sound Securities, Inc. case IMPCIMBTICN Statement of Claim filed: July 1, 1991 Claimant's Submission Agreement signed on: June 22, 1991 Statement of Answer filed f

Arbitration N.A.S.D. AWARD National Association of Securities Dealers, Inc. NKTIGNSL ASSOCXXTXCN OP SfeOJRiTIKS DEALERS 33 SD _ __ New York. N.Y. 100O4 In the Matter of the Arbitration Between FAX (2 12) 858-4339 Adrienne and Michael Miller 91-02043 of Resixirulmts Brothers, Tnn. William Burfce William Gray Claimants Adrienne artf l Michael Miller {"Claimants") ware .rgyi' 1 *'"** 1 *' 0 ** by Mich

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Martin Kaiden and Ruth Kaiden, JTWROS 91-02041 Name of Respondent G K Scott & Co. Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 1, 1991, Claimants Martin R. and Ruth A. Kaiden, who appeared Pro Se, alleged that they were repeatedly solicited by a broker working f

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nama_g£giaimg£igi Doreen Putnam 91-02040 Name of Sacks Investment Ccnpany For Claimant: In Pro Se For Respondent: In Pro Se Statement of Claim filed:July 11, 1991 Claimant's Submission Agreement signed on: June 25, 1991 Statement of Answer filed by Respondent on: Respondent, Richard L. Sacks did not file a written answer to the claim.

N.A.S.D. WARD NATICNAL ASSOCIftllCN OF SBCDRTTIES DEALERS In the Matter of the Arbitration Between Name_gf L Claimant (s) Aubrey R. Martin and Sharon F. Martin vs. 91-02036 Dean Witter Reynolds, me. Prudential Securities, Inc. and Kenneth W. Mattson For Claimant: Andrew J. Ogilvie, Esq., 300 McntgoDery Street, Suite 700 r San Francisco, nai H tem^ « 94104. For Respondents: Wendy R. Rbblnscn, Esq., Dean Witter Reynolds, Inc., (CWR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SELUkiTIES DEALERS In the Jitter of the Arbitration Between Name of Patricia J. vs. 91-02035 Name of Respondent (s) Prudential Bacfae Securities, Inc. Y&miro For Claimant: Michael L. Paule, Investors Arbitration Services, IDC., Wbodland Hills, r> a'Hfi7rp'' a For Respondents: Debbie C. Stone, Esq., Prudential Barlip Securities, Inc., New York, New York cass Statement of Halm file