Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Susan J. Bender, (Claimant) vs. Robert Levin, Renata Trading, LLC, Wilcris Trading, LLC, Andrew Bellak, and Roy Welland, (Respondents) Case Number: 00-04963 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Susan J. Bender, hereinafter referred to as "Claimant", appeared pro se. Respondents, Renata Trading, LLC ("Renata") and Andrew Bellak ("Bellak"): Brian

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #91-02292 AWARD In the Matter of the Arbitration Between Rajeeve Madan Claimant vs. First of Philadelphia Mike Preddy Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1991, Claimant, Rajeeve Madan, who appeared Pro Se, alleged that on January 25, 1989 Respondent Mike Preddy phoned to inform him that he purchased so

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che Matter or the Arbitration Between PaineWebber, Inc. Claimant vs. D.R.S. Holdings, Inc. Respondent CASE #91-02290 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1991, Claimant PaineWebber, Inc. who appeared Pro Se, alleged that Respondent D.R.S. Holdings, Inc. purchased 2,000 shares of Ryan Beck & Co. , _^n.c.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Claimant Gerald Rubin No. 91-02287 Name of Respondent First Chicago Investment"Services, Inc. REPRESENTATION OF PARTIES For Claimant: Stewart I. Gartner, Esq. For Respondent: Susan Caruba, Esq. of First Chicago Investment Services, Inc. CASK INFORMATION Statement of Claim filed: July 25, 1991. Claimant's Submission Agreement

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02284 AWARD In the Matter of the Arbitration Between John P. Aravanis Claimant vs. Gary A. Pavlo W. Douglas Davidson Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1991, Claimant John P. Aravanis, who appeared Pro Se, alleged that Respondents Gary A. Pavlo and W. Douglas Davidson of Dean Witter Rey

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Stanley Golin & Richard Parker, TTEES Case No. 91-02282 Name of Respondent s) Raymond James & Associates, Inc. Prudential-Bache Securities Inc. Russell Ketchum REPRESENTATION For Claimants, Stanley Golin ("Golin") and Richard Parker ("Parker"): Steven R. Reininger, Esq. of Rasco & Reininger. For Respondents, Raymond

PUBLIC N.A.S.D. AWARD NATIONAL ASSOdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Elsie Hershey & Dante Nicolello 91-02280 Name of Resp" nri « ain .t (s) First Investors Corporation First Investors Fund For Tnconp, Inc. For Claimants: Richard Afpletay, Esq. of the law Offices of Richard Appleby in New Yorfc City. For Respondents: Larry Lavoie, Esq. of Kiikpatrick & Lockhart in Washington;

Arbitration H.A.S.D. AWARD National Assoc«tion of Securities Dealers, Inc. __ _ NASD Financial Center NATICKRL ASSOCIATION OF SECDRITTES DEALERS 33 Whitehall Street _ New York. N.Y. 1 0004 In the Matter of the Arbitration Between FAX (212)858-4389 of Claimant Alan M. Freund 91-02279 NamBofRespondents Prudential Securities Inc Christopher Sargent For Claimant Alan M. Freund ("Claimant"): John L. Seibel, Esq. , Attorney at Law.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimants James and GeraJdine R. Parks -__ and 91-02276 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Thomas Gavin REPRESENTATION OF PARTIES Claimant James and Geraldine R. Parks was represented by James H. Bingaman, Esq., Fayetteville, Arkansas. Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. was

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Thomas E. & Evelyn Miller Claimants vs . West America Investment Co. Richard T. Whalen CASE #91-02273 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 25, 1992, Claimants Thomas E. & Evelyn Miller, who appeared Pro Se, alleged that Respondents West America Investment Co. and Richard