NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04961 Paine Webber Inc., claimant vs. Thomas Rendl, respondent. ATTORNEYS: For Claimant appeared Lisa A. Catalano, Esq., of the Law Offices of Joel E. Davidson, Park Ridge, NJ. Respondent appeared Pro Se, Libertyville, IL. DATE FILED: November 8, 2000 CASE SUMMARY: Claimant alleged that respondent defaulted on a settlement agreement pertaining to his employee forgivable loan. C

t N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Frederick A. Lewis, Jr., M.D. f P.C., Frederick A Lewis, Jr., M.D. and Jeanne C. Lewis, individually and as Trustees, Frederick A. Lewis, Jr., M.D., P.C. Pension Trust and Profit Sharing Trust and -•• *-• 91-02271 Name of Respondents Oppenheimer & Co., Inc., Tucker Anthony Incorporated and James J. Stea

NJLS.D. OF la the Hatter of the Arbitration Between Of Electric Service, Inc. 91-02268 Of FiMII IT indents Dean Witter Reynolds, me. William R. Sather Foe ma-learnt-. Mart J. Briol, Esq. and Gregory L. Wilaes, Esq. of Briol anri WilJDBB, M< T Fior Respondents: Richard A* Rogoff, Esq. of Dean Witter Reynolds, Inc. StataMnt of rn»< « filed July 25, 1391. dainant's ftflir* a ?iT | ^reement signed en July 22, 1991* Join

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Robert & Julie F. Moore 91-02267 Name of Respondent^ Securities Service Network, Inc. Robert L. Bootes REPRESENTATION For Claimants Robert and Juanita F. Moore: Wesley Gersh, Esq., of Gersh Law Offices. Respondent Robert L. Bootes, appeared Pro Se. Respondent Security Service Network, Inc. settled before the hearing.

PUBLIC Arbitration N.A.S.D. AWARD National Association of ... Securities Dealers, Inc. NATIONAL ASSOCLATICN OP SHHJH1T1KB DEALERS 33 White^Stoeet" ^ __ __ _ _ New York, N.Y. 10004 In the Matter of the Arbitration Between FAX (212)858-4389 Richard L. Fischl Case # vs. 91-02265 Name of Respondent M. Ri-mscn & Co., Inc. For Claimant: Pro se. For Respondent: Msshe Rimson Statement of Halm filed: July 24, 1991. Claimant's Submissi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02263 ANBED In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. House Productions Harvey House Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 24, 1991, Claimant, PaineWebber, Inc. by and through their in-house counsel Garry >T. Stegeland, Esq., alleged that on or about August 11, 1990, Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Morgan Gladstone & Co., Inc. Claimant vs. Southport Capital and Curtis Ivey Respondents CASE #91-02261 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 24, 1991, Claimant, Morgan Gladstone fit Co., Inc. by and through its outside counsel, Charles H. Brodzi, Esq., Sole Practitioner, Fort Lauderdale

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Albert de Atienza and Angeles de Atienza and 91-02256 Name of Respondent INVEST Financial Corporation REPRESENTATION OF PARTIES Claimant Albert de Atienza appeared pro ae. Respondent was represented by Eugene B. Harper, Esq. of INVEST Financial Corporation, Tampa, Florida. CASE INFORMATION The Statement of Claim wa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #9X--02255 AKBBH In the Matter of the Arbitration Between Linda D. & John E. Ross Claimants vs. Southeast Bank Brokerage Service, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities- Dealers, Inc. on July 24, 1991, Claimants Linda D. & John E. Ross who appeared Pro Se, alleged that Respondent Southeast Bank Brokerage Service, Inc. through thei

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David Suiter Claimant vs. Daniel C. Stybr Respondent CASE #91-02251: ANBRD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 23, 1991, Claimant David Suiter who appeared' Pro Se, alleges that Respondent Daniel C. Stybr misrepresented: the high risk of VMS Strategic Land Fund II when he told the Claim