N.A.S.D. AWARD In the Matter of the Arbitration Between o f Roy & Ramona Denham, Elva Wood, Jules and Adele Weinberger, et al. 91-00248 Name of Respondents s=s^^»ss^«=^^s^^=^^ -•- •?*- First Investors Corporation, et al. For Claimants: William B. Federman, Esq. of Day Hewett &. Federaan, Oklahoma City/ Cfclabona. For Respondents: Glenn R. Reichardt r Esq. of Kirkpatrick & Locfchart, Washington, D.C. case Statement of

N.A.S.D. AWARD NftTICNAL ASSOCIATION OF SECURITIES DEM£RS In the Matter of the Arbitration Between Maimley S. Claimant #91-00244 and Dean Witter Reynolds, Inc. and David L. Childexs Respondents VFTCM OF PARTTES Claimant Mannley S. Bromwell appeared pro se. Respondents Dean Witter Reynolds, Inc. and David L. Childers were represented by Wendy R. Robinson, Esq. In a Statement of Claim filed with the National Association of

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between " NameofClaiinaut Shepard & Vrbanac Securities, Inc. ni int ip f U uLiU 91-00241 of Donald A. Johnson Name of T^-nd- party Respondents Mesirow Capital , Inc. Karen K. Amorati National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (21

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Aida M. Conkey Frank Potera James Van Houten (Claimants) Case Number: 00-04941 George Riccio, Jr. Gaines Berland, Inc. Bear Stearns & Company First American Equities, Inc. Fiserv Correspondent Services, Inc. Eisner Securities, Inc. National Financial Services Corporation Sunpointe Securities, Inc. Raike Financial Group, Inc. Southwest Securities,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Carl H. and Louise Rimmler Beatrice M. Birkhimer Charles G. Cerrato Henry Fallucca Joseph Pugliese Patricia Ronco JaneH. St. Denis Winnie and Leola Sparks Julius and Ruth Eagerman Case No. 00-00504 Names of Respondents Investors Capital Corp. Angela M. Staub Virgil A. Smith Charlotte Ann Tomaske (n/k/a Ann Arthur) K

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants The Estate of Halliet J. Dane] Shirley C. Danel Halliet J. Danel, III, Case No. 00-00058 Names of Respondents Investec Ernst & Company, successor of Stuart, Coleman & Co., Inc. Michael C. Brescia B'Tween Us Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For The Estate of Halliet J. Danel (the "Estate"), Shirley C. Danel ("

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00233 AWARD In the Matter of the Arbitration Between Daniel M. Schwartz Claimant vs . Merrill Lynch, Pierce, Fenner & Smith, Inc . Respondent CASE SUMMARY Pro Se Claimant, Daniel M. Schwartz, in a claim filed with the National Association of Securities Dealers, Inc, on January 23, 1991, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. failed to inform hi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00232 AWARD In the Matter of the Arbitration Between Kenneth V. and Marie C. Martin Claimants vs. Murphey-Favre, Inc. Respondent CASE SUMMARY Pro se Claimants Kenneth V. and Marie C. Martin, in a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1991, alleged that Respondent Murphey-Favre, Inc. misrepresented the cash out and penalty on Unite

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant-(.q| Cmar Tawill 91-00227 Name of Respondentfs) Dean witter Reynolds, Inc. Dennis JfcGrath Claimant was represented by Rececca Newman, Esq.. Respondents were represented by Richard A. Rogoff, Esq. This matter was initiated by a Statement of Claim filed with the Chicago Board Options Exchange, Inc. ("CBOE") and transfered to

Arbitration N.A.S.D. AWARD OUCBGD BOARD OPTIONS EXCHBMZ National Association of Securities Deateri, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between Michael W. & Paillettes Walter vs Name o 91-00226 Prudential-Bacha Securities Inc. Heard before: Name Lawrence R. Bowers, Esq. Public This claim was initiated by.- a Statement of Claim filed with the Nati