NATIONAL ASSOCIATION OF SECURITIES DEALERS/ INC. In the Matter of the Arbitration Between Beatrice E. Tillman a/c/f Kevin Tillman Claimant vs. AWARD Shearson Lehman Brothers, Inc. Respondent CASE #91-01706 CASE SUMMARY Beatrice E. Tillman, Pro Se r in a claim filed with the National Association of Securities Dealers, Inc. on June 4, 1991, alleged that Respondent Shearson Lehman Brothers, Inc. turned over the assets of the

PUBLIC NATIONAL ASSOCIATION.OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Verdis Cook Claimant vs. Kober Financial Corp. Dan Ratts Deborah Neuner Respondents AWARD Verdis Cook V3 Kober Financial Corp & Dan Ratts Consolidated with CASE #91-01704 Verdis Cook vs. Financial Corp & Deborah Neuner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. o

N.A.S.D. AWARD NKTICNM. ASSOCTMnCN OF SECDRITIES DEALERS, INC. In the Matter of the Arbitration Between Nane__of_Cla±iBant Donald Tourville 91-01702 Name of Respondents Otra Clearing, Inc. First Fidelity Capital Corporatioa Ted Lawrence Rubin For Clalnant: Brandon L. Martin, Esq. Fbr Respondents; First Fidelity Capital Corporation and Ted Lawrence Rubin did not appear. Otra Clearing, Inc. was represented by Scott G. Monson, Esq.

N.A.S,D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant: Ak-Chin Indian Community No. 91-01700 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Gerald D. Thornton REPRESENTATION OF PARTIES For Claimant: Frank Lewis, Esq. of Begam, Lewis and Marks, P.A. and Burton Bently, Esq., Phoenix, Arizona. For Respondents: Dennis M. Pape r Esq. and V. James Mann. Esq., Merrill Lynch Litigation Department., N

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Rockwell R. Carr and Sloan W. Carr JT/WROS Claimants vs. Oppenheimer & Co., Inc. Peter Garrett Respondents CASE #91-01697 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1991, Claimants Rockwell R. Carr and Sloan W. Carr, who appeared Pro Se, alleged that Respondents Oppenheimer

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01696 AWARD In the Matter of the Arbitration Between George W,. Bechtold Claimant vs. J.W. Gant and Associates, Inc. Respondent CASE SUMMARY George W. Bechtold, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1991, alleged that Respondent executed an unauthorized sale of 391 shares of J.W. Gant Financial at a loss on the pretext th

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between pf Claimant Oscar M. Schapiro 91-01692 Jacob Pearce, Jt. For Claimant: The Claimant appeared pro se. For Respondent; The Respondent was represented by John R. Gilner, Esq. CftSB INPCBMKEKK Statansnt of Claim filed: May 31, 1991. Claimant's Submission Agreement signed on: June 14, 1991. Statement of Answer filed by Respondent Jacob Pearce, J

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, J.NC. CASE #91-01691 AWARD _n the Matter of the Arbitration Between Glen and Reola C. Burrough Claimants vs . Pacific Brokerage Services, Inc. Steven Wallace Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1991, Claimant Glen & Reola C. Burrough, who appeared Pro Se, alleged that Respondents Pacific Brokerage

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-04951 Peregrine Financials & Securities, Inc. Name of the Respondent Hearing Site: Chicago, Illinois Rooz Abaas Eftekhari REPRESENTATION OF PARTIES Nicholas lavarone, Esq. and Thomas Sarikas, Esq. of the firm Bellows and Bellows located in Chicago represented Peregrine Financials & Securities, Inc. ("Peregrine Financials"). Rebecca Wing

Arbitration M A S n AWARD National Association of W.A.O.W. < nn«Kij Securities Dealers, Inc. ~ NASD Financial Center NATICNftL ASSOCIATION OP SHJLUUTIK3 DEALERS 33 Whitehall Street New York, N.Y, 10004 In the Matter of the Arbitration Between FAX (212) 858-4389 Case # 91-01690 Jesup, Joflepht-hnl & Co., lac. For Clainant: Martin J. Siegel, Esq. For Respondent: Joseph Schmidt. OVSE Statement of Claim filed: May 31, 1991. Claimant's