N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Margaret C. Matthews 91-02338 Name of Respondent(a) Dean Witter Reynolds, IhcT Prudential-Bache Securities Inc. Southwest Securities, Inc. Robert F. Doviak, II REPRESENTATION OP PARTIES Claimant was represented by James Fox, Esq. and Peter J. Karabas, Esq. of Abramson & Fox, Chicago, IL. Respondents Southwest Securi

N.A.S.D. AWARD ASSQdEnCN OF SEGORITIES DESLERS In the ifetter of the Arbitration Between Of Joe C. Quezada and Bernice M. Quezada vs. NASD #91-02336 Name_o£ Respondents Smith Barney, Harris Ujpham & Co., Inc. Richard Mason Nicholas Levenetz Francis Treybal For daiaants: 'Robert Roth, Investors Arbitration Services, Inc., Woodland Hills, California. For Respondents i log*** Barney, Harris Djpham: Soott E* Kresch, Esq., Smith Barne

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-04974 George H. Bane, claimant vs. Ameritrade, Incorporated, respondent. ATTORNEYS: Claimant appeared Pro Se, Delray Beach, FL. Respondent appeared through in-house counsel, Andrew Harger, Esq., Bellveue, NE. DATE FILED: November 9, 2000. CASE SUMMARY: Claimant alleged that respondents failed to provide prompt notification of margin interest on stocks assigned to him. ARBITRATOR

PUBLIC Arbitration National Association of N.A.S.D. AHARD Securities Oeaters* Jnc. NASD Financial Center ASSOCIATION OF SECURITIES DEALERS 33 whitenaii street New York. N.Y. 10004 PAX < 212) 858 - 4389 In the Matter of the Arbitration Between Of Calvin G. 91-02329 Name o£ Wheat , First Securities, Inc. For Claimant Calvin G. 7fir \ {"Claimant 11 ): Michael R. Miller, Esq. of Southmocyd Simpson & Miller.

PUBLIC Arbrt ration N.A.S.D. AWARD NATICNAL ASSOdKTICN OF SBCDRTTIES DEALERS In the Matter of the Arbitration Between Name of National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212} 858-4389 Antoinette & Andrew DeMarsico vs. of Gasae # 91-02326 USLIFE Equity Sales Corp. William A. Levioe For Claimants: Antoinette DeMarsico. For Respondent, U

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anthony Ricciardelli Claimant vs. Global America Inc. and Prudential Bache Securities, Inc Respondents CASE #91-02324 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 31, 1991, Claimant, Anthony Ricciardelli, who appeared Pro Se, alleged that Respondent, Global America Inc. failed to follo

N.A.5.D* AWARD NOTICNRL ASSOCianCN OF SECURITIES ng&T.iapg In the Matter of the Arbitration Between pf Adolph Buerckel and Lucille Kellett 91-02322 Mama of Shearson Tj>>»m»n Button, Inc. and Richard R. McKinley dalnants, Jktolph Buerctel and Lucille Kellett were represented by Paul « Of Respondent, Shearson T^hman Brothers, Inc. was represented by Ton Galbraith, Esq. of Lewis and Roca, Phoenix, Arizona. Respoodent, Richard Mc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Fred & Christina Goehner Claimant vs . CASE #91-2321 AWARD John G. Kinnard & Co., Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 30, 1991, Claimants Fred & Christina Goehner who appeared pro se, alleged that Respondent John G. Kinnard & Co. Inc. recommended an unsuitable invest

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02320 AWARD In the Matter of the Arbitration Between Fred & Christina Goehner Claimant vs. Edward D. Jones & Co. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 3 0, 1991, Claimants, Fred & Christina Goehner, through their representative, alleged that Respondent Edward D. Jones & Co., by and through its Registered

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anthony C. Hardy 91-02319 Name of Respondents First Eagle, Inc. Joseph Jenkins, Jr. Thomas Peter Sussman Norman E. Phillips Barry W. Former Robert C. Valerius Theodore Giergielewicz Robert B. Whittmore Jon J. Vargo CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on