Arbitration MATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Herbert M. Linsenberg Name of Respondent f£l Prudential Securities Inc 91-00225 National Association of Securities Daalsfs, inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 f? or Claimant: John W. Itorris, Esq. ''or Respondent: Marc S. Dobin of Prudential-Bache Securities, Inc. Statement of Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward J. & Charlotte N. Zubeck 91-00222 Prudential Securities, Inc. Robert C. Hicks For Claimants: Robert J. Lecky, Esq. For Respondents: Jonathan C. Thau, Esq. & Dicker of Wilson, Elser, Moskowitz, Edelman Statement of Claim filed: January 22, 1991. Claimants' Submission Agreement signed: February 1, 1991. Joint

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE 191*00210 AWARD In the Matter of the Arbitration Between Emil R. Proska, III Claimant vs. R.B. Webster Investment, Inc. Respondent CASE SUMMARY Pro Se Claimant, Emil R. Proska, III f in a claim filed with the National Association of Securities Dealers, Inc. on January 18, 1991, alleged that Respondent R.B. Webster Investment, Inc. and their former- agents gave him misleadi

Award NASD Dispute Resolution In the Matter of the Arbitration Between; First Union Securities, Inc. v. Tom H. Martindale Case Number: 00-04940 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: First Union Securities, Inc. Diane C. Fischer, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Tom H. Martindale Gerald L. Wolfe, Esq. Law in Progress Irvine, California CASE INFORMATION Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/s^ Obdulia Rivera 91-00206 Name of Respondent(s1 Carmen Glikberg For Claimant: David A. Baugh f Esq. Respondent failed to appear. Statement of Claim filed: January 17, 1991 Claimant's Submission Agreement signed ons January 15, 1991 Carmen Glikberg failed to file a Statement of Answer and a Submission Agreement.

N.A.S.D. AWARD NATIONAL ASSOdATICN OF StXJUKITlES DEALERS la the totter of the Arbitration Between Name of William and Rose Rotbooan cn Haxvey Bassin Button, Try*, Case No. 91-00202 For Claimants, William and Rtee Rottuan (•Rothnaas*): Dan Brectoer, Sag* .of the Law Offices of Dan Brecher. For Respondent, Shearson Lehman Brothers, Inc. ("Shea Esq. of Boose, Casey, Ciklin, et al. Sespoodent, Harvey Raaain ("Bassin"): gjo ae. "): B

* s Arbitration N.A.S.D. AWARD NWICNAL ASSOdaXICN Off SBCDRITIES DERLERS In the Matter of the Arbitration Between Of Ellen. Cozy Ejpstein Name of Respondent Shearson tinman Brothers r Inc. 91-00199 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y, 10004 FAX (212) 858-4389 For Claimants Daniel Efcstein, Rachael gpstein and Ellen ^pstein ("Claimants"): Rich

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Edward Kozinn vs, Gerald D. Harvey Claimant Respondent Case #91-00194 Award QftSE SUMMARY Edward Kozinn, Pro Se Claimant, in a claim filed with the National Association of Securities Dealers , Inc . on January 17 , 1991, alleged that Respondent Gerald D. Harvey, while employed as a broker at Stuart -James Company in Darien, CT, failed to execute

N.A.S.D. NATICNAL ASJJUL'IATICK OP .SH.IIK1T.1ES PRATERS In the Matter of the Arbitration Between Carl T -»**^ and Salvatore Ruggiero vs. NASD Arbitration No. 91-00186 stein For Claimants* Carl Tacho & Salvatore Ruggiero, Fro per For Respondent: Mlrhnal Stein, Pro pear Statement of (Tlnlm filed: January 16, 1991 jutt manont- fligntf^j ens JiBOuazy ll r 1390 Statement of Answer filed by BMprnrtmtt May 8, 1591 Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between Name of Claimant Rosemarie L. Koss Case # vs. 91-00183 Name of Respondents Andover Securities. Inc. Kent Miller Terry McGavern Dennis Smith REPRESENTATION For Claimant: Christopher J. Barber of the law firm of Adler, Kaplan & Begy For Respondents: James D. Griffin from the law firm of BlackweU Sanders Matthew Weary & Lombardi. f