PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02919 AHMD In the Matter of the Arbitration Between Brian Gaffney Claimant vs. OTRA Clearing, Inc, Bill Kellman Madison Chapin Associates, Inc. Respondents GASB SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 19, 1991, Claimant, Brian Gaf fney, who appeared Pro Se f alleged that in July, 1991, Respondents,

N.A.S.D. AWARD VS. 91-02905 Name of Respondent A.G. Edwards & Sons, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 19, 1991, Claimant Robert L. Townsend, through his counsel Alexander H. Walker, m, Esq. of Van Wagoner & Stevens, Salt City, UT, alleged that Respondent A.G. Edwards & Sons, Inc. failed to follow his instructions to sell (XMI) October-Put options which he had purchased on th

PUBLIC Arbitration National Association of Securities Dealers, Inc. NASD Rnancia| Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DERLERS New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Q£ Jack Luchs 91-02901 Grossman & Co. Dennis Grossman Claimant Jack Taicha ("Claimant") represented himself. For Respondents: Dennis Grossman represented himself anri Grossman & Co. case S

^ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Stanford and Gail Cohan Case No. 91-02896 Name of Resoondentf s) Jesupjosephtal & Co., Inc. nka JJC Securities Co., Inc. Jeffrey Leach REPRESENTATION For Claimants, Stanford and Gail Cohan ("the Cohans"): Robert Haile, Jr. Esq. of Fleming Haile & Shaw. Respondent, Jesup Josephthal & Co., Inc. n/k/a JJC Securities C

Arbitration National Association c N.A.S.D. AWARD Securities Dealers, Inc NASD Financial Center MATICNAL ASSOCIATION OP SECURITIES DEALERS 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Of Nancy S. Peebles - 91-02889 C£penheiiDer & Co., Inc. Steve Winston For Claimant Nancy S. Peebles ("ClaiiEBnt* 1 ) : .shft appeared pro se. For P *a«aprtnri«an f jg Cppenheiffler & Co

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-04995 PaineWebber Incorporated, claimant vs. John Graves, respondent. ATTORNEYS: For Claimant appeared Lisa A. Catalano, Esq., of the law offices of Joel E. Davidson, Park Ridge, NJ. Respondent appeared Pro Se, East Hampton, NY. DATE FILED: November 10, 2000 CASE SUMMARY: Claimant alleged that respondent failed to pay the unsecured debit balance in his account. Claim Data Aw

Arbitration N.A.S.D. AWARD NATIONAL ASSOCTA2TCN OF SECORITE3S DEAXJ3RS In the Matter of the Aztoitzmticn MBDB Of William vs. # 91-02884 Paiaeffttber, Inc. Christopher Papa AlleaG. Snider National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Star Claimant: Pro se. Vfemar, Esq., in-house State of cOadm filed* Septenbeo: 18, 1991

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Name of Claimants Theodore E. Bindrim & Barbara L. Bindrim t as Trustees of Theodore E. Bindrim Profit Sharing Plan as successors to Theodore E. Bindrim Architect P.C. Pension Fund

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald R. Burris 91-02882 Name of Respondent , -.. *- S.C. Costa Company, Inc. REPRESENTATION For Claimant at the hearing: Pro Se. For Respondent at the hearing: Virgil L. Gaither, S.C. Costa Company, Inc., Tulsa, Oklahoma. CASE INFORMATION Statement of Claim filed; September 17, 1991. Claimant's Submission Agreemen

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert W. Hollis, III Claimant vs. Dean Witter Reynolds, Inc. Karen Varnhagen Respondents CASE #91-02880 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 17, 1991, Claimant, Robert W. Hollis, III, who appeared Pro Se, alleged that Respondents Dean Witter Reynolds, Inc. and