N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant C. Joseph Rubis 93-00531 Name of Respondents D.H. Blair & Company John Steinmetz Barclay Investments Inc. Global Financial Group Inc. REPRESENTATTON For Claimant C. Joseph Rubis ("Claimant"): Stuart Kaufman, Esq., of the law firm of Fisch & Kaufman, P.C., New York, New York. For Respondent D.H. Blair & Company ("D.

N.A.S.D. AWARD NATTQNAT. ASSOCIATION OF SECURITIES HEATERS. INC. In the matter of the Arbitration Between Name of Claimants Warren and Rebecca Stralev NASD Arbitration No. 93-00527 Name of Respondents Christopher Weil & Company. Inc. Philip Harrwell Christopher F. Weil B. Wayne Hughes Richard A. Lane REPRESENTATION For Claimant: David Liebrader - Investor Arbitration Services, Inc. - Woodland Hills, Ca. For Respondents: Eliza

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Russell F. & Beatrice R. Turco 93-00524 Name of Respondent Wayne Hummer & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 1 1 , 1993, Claimants Russell F. and Beatrice R. Turco who appeared Pro Se, alleged that they were solicited by phone by Respondent Wayne Hummer & Co.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roslyn Silverman Trust, Rosiyn Silverman Samuel Silverman Trust, Samuel Silverman 93-00519 Name of Respondents Gruntal & Co., Inc. Moore Schley Cmeron & Co. G.M.S. Group, Inc. REPRESENTATION For Claimants, Roslyn Silverman Trust, Roslyn Silverman, Samuel Silverman Trust, Samuel Silverman ("the Silvermans"); pro se.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between of Claimants James and Margaret McKinney 93-00518 Name of Respondent « Hibbard Brown & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 1 1 , 1993, Claimant James & Margaret McKinney, who appeared Pro Se, alleged that Respondent Hibbard Brown & Co., Inc., through its re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05051 Laura Bollenbacher, claimant vs. Charles Schwab & Company, respondent. ATTORNEYS: For Claimant, Laura Bollenbacher, appeared Tom Bollenbacher, Hiram Village, OH. For Respondent, Charles Schwab & Company, appeared Jane M. Weston, Esq., San Francisco, CA. DATE FILED: November 14, 200« CASE SUMMARY: Claimant alleged that respondent failed to notify claimant of a balance due

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants A. Louis and Alice W. O'Connor 93-00517 Name of Respondents American Bond Group, Inc. Aleksandr Shvarts REPRESENTATION For Claimants, A. Louis and Alice W. O'Connor ("the O'Connors"): pro se. For Respondents, American Bond Group, Inc. ("ABG") and Aleksandr Shvarts ("Shvans"): pro se (see "Other Issues"). CASE INFORMATI

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paine Webber, Inc. 93-00511 Name of Respondent Paul B. Ciceri REPRESENTATION For Claimant, PaineWebber, Inc., ("PW"): Joseph A. Vallo, Esq. of PaineWebber, Inc. For Respondent, Paul B. Ciceri: pro se. CASE INFORMATION Statement of Claim filed: 2/10/93 Claimant's Submission Agreement signed on: 2/4/93 by Gary Stegela

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants H.D. Vest, Inc., H.D. Investment Securities, Inc. and Herb Vest and 93-00506 Name of Respondent Kenneth M. Greene REPRESENTATION OF PARTIES H.D. Vest, Inc., H.D. Investment Securities, Inc. and Herb Vest ("Claimants") were represented by Joseph W. Geary, Esq. of Geary, Porter & West, Dallas, Texas. Kenneth M. Gre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Larry E. Finkemeier, IND & TTEE/ Burgess Mechanical Pension & Profit Sharing Plan No. 93-00494 Name of Respondents Michael Johnson Ian Ken Wright REPRESENTATION OF PARTIES For Claimants: Carl Chinnery, Esq., Lees Summit, Missouri. For Respondents: James C. Lieber, Esq., of Mitchell, Kristl & Lieber, Kansas City, Missouri. CASE INFORMATION Statement of