Arbitration N.A.S.D. AWARD NATIONAL ASSOdAITCN OF SECDRITffiS DEALERS In the Matter of the Arbitration Between Name of 91-02800 Dr. Joha & Margaret Of Bear Stearns & Cbnpany vs. Derby Securities Inc. National Association of Securities Dealers, Inc. NASD Fnanciat Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 PUBLIC For Claimants John & Margaret ("Claimants' 1 ) : Dr. Bdsall represen

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., In the Matter of the Arbitration Between : Michael A. and Patricia A. McKimmy : : CASE #91-02795 : AWARD Claimants vs. Roy Buckingham and Mike Cowdrey : Respondents : CASE SUMMARY In the claim filed with the National Association of Securities Dealers, Inc. on September 9, 1991, Claimants, Michael A. and Patricia A. McKimmy who appeared Pro Se, alleged that in February 1990

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: West America Securities Corp., (Claimant) vs. Direct Funding, Inc. and Steven Rosenfeld, (Respondents) Case Number: 00-04978 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, West America Securities Corp., hereinafter referred to as "Claimant": James A. Bush, Esq., Law Offices of James Bush, P.C., Carlsbad, CA. Respondents, Direct Funding, Inc. ("Direct"

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paine Webber, Inc. 91-02794 Name of Respondent Jeff Kanter REPRESENTATION For Claimant, PaineWebber, Inc. ("PW"): Michael Alford, Esq. of PaineWebber. For Respondent, Jeffrey Kanter ("Kanter"): Harry W. Haskins, Esq. Haskins CASE INFORMATION Statement of Claim filed: September 6, 1991. Claimant's Submission Agree

Arbitration ® National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between o£ Claimant Edward H. Ledbowitz 91-02789 Hams of Shearson Lehman Brothers, Inc. J. Kenneth Lyons For Claimant Edward H. Leibowitz: Gary J. Cucchiara, Esq. of the law firm of Don

N.A.S.D. AWARD NBTICNAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between of Steve E. Gerlach Kirsty E. Gerlach vs. 91-02351 Name of Respondent (s) Shearson T-ahmari Brothers, lac. For n a 1 mnn ta/Counterrespondents ; Steve E. Gerlach (Pro per) For p< »qprlnrfan^/l^ m ^ g^ ^^a^T«^l^-* Kathryn L. Krebs r Esq., Keesal, Young & Logan Statanent of rq«4« filed: July 31, 1991 ' /rV^Tn4-arTpa

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Alan R. Childress Mary Ellen Childress Claimants CASE #91-02350 vs. AWARD Fidelity Investments, Inc. Respondent * CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 31, 1991, Claimants Alan R. & Mary Ellen Childress who appeared Pro Se, alleged that Respondent, Fidelity Investments, Inc

N.A.S.D. AWARD NATICNAL ASSQCIKnCN OF SECURITIES DEALERS In the Matter of the Arbitration Between Sharon Robinson NASD Arbitration vs. No. 91-02344 PaineWebber, inc. For Claimant: Sharon Robinson For Respondent: Scott Ratchick, Esq. Statement of cia-im filed: August 20, 1991 Claimant's Submission Agreement signed on: July 23, 1391 Statement of Answer filed by Respondent on: October 21, 1991 Respondent, PaineWefcber* s Submission Agreemen

N.A.S.D. AWARD NOTICNAL ASSOCIAHCN OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Milton Nevitt 91-02342 Name of Respondents Tucker Anthony Incorporated John Hancock Clearing Corporation Lucas P. Hriston REEfag3jgri3U.-j.CK For Claimant; David B. Neman, Esq. of the law firm of Coqpezxnan Levitt & Winikoff, P.C. For Respondents: Paul A. Liebennan, Esq. INPCgMftTICK Statement of Claim file

N.A.S.D. AWARD ASSOCEATICN OF SBCDRITIES DESkLERS tbe Matter of the Arbitration Between of Flora H* Walldorf. 91-02341 Name of ent Keegan & Oniony, Inc* "UN g2 ic:.y Claimant, Flora H. Walldbrf was represented lay W. Neil ftjcmas, III, Esq. of Shumacter & r n^n^tuiMi f Chattanooga, Tennessee* Respondent, Morgan Fopgan & Ccnpany, Inc. was represented by Michael Richards, Esq. of TT*H aTroi i f Donelsoa,