NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Verden Fernandes as Custodian for Trevor Fernandes vs . PaineWebber, Inc. Rodney Davis Claimant CASE #91-00140 AWARD Respondents CASE SUMMARY Verden Fernandes as Custodian for Trevor Fernandes, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on January 11, 1991, alleged that Respondent Rodney Davis,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04937 H & R Block Financial Advisors, claimant vs. Stefan Shanni, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Kurt M. Miller, Esq., Detroit, MI. Respondent did not appear. DATE FILED: November 7, 2000 CASE SUMMARY: Claimant alleged that respondent failed to repay a debit balance created in his account. Claim Data Award Data Claim: $16,889.18 Award: $16,88

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert J. Nilsen ,;;.^ . Claimant Fidelity Brokerage Services, Inc. Respondent CASE SUMMARY Pro Se Claimant, Robert J. Nilsen, in a claim filed with the National Association of Securities Dealers, Inc. on January 11, 1991, alleged that Respondent Fidelity Brokerage Services, Inc. executed an unauthorized trade in his account by purchasing three hundred

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Franklin & Doris Shears No. 91-00135 Name of Respondents Shearson Lehman Hotton/'Iric. Tom Bandyk REPRESENTATION OP PARTIES For Claimants: Judy E. Bregman, Esq. For Respondents: Walter J. Piszczatowski, Esq. CASK INFORMATION Statement of Claim filed: on or about January 10, 1991 Claimants' Submission Agreement sign

N.A.S.D. AWARD NATICNM* ASSOdKEKN OF SECURITIES DEAI£RS In the Matter of the Arbitration Betwesi of The Evangelical Lutheran Jood Samaritan Society of its 3/992 ; 5/TRATION.CHICAGG 91-00131 Miller, Johnson & Kuehn, Inc. f/fcfc Miller Securities, Inc. ELiDd Miller David For claimant Hie Evangelical Lutheran Good Samaritan Society: Terraace J. Fleming, Esq. of Llndouist & Veoom, Tmnr>a«ryvi ^ a f Minnesota. For Resp

ion. Inc. In the Matter of the Arbitration Between: Richard Fisher, (Claimant) vs. Greenwich Partners, LLC, (Respondent) Case Number: 00-04936 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard Fisher, hereinafter referred to as "Claimant": Michael E. Grenert, Esq., Liddle & Robinson, L.L.P, New York, NY. Respondent, Greenwich Partners, LLC, hereinafter referred to as "Respondent" did not make an appearance at the hearings in t

Arbitration •» N.A.S.U. AWAK1J Nation*. Association of Securities Dealers, Inc. NATICNAL ASSOCTMTCN OP SECURITIES DEALERS NASD Financial Center 33 Whitehall Street In the Matter of the Arbitration Between New York - N - Y - 1 Q004 FAX (212) 858-4389 Name of Claimants Vladimir and Lyudmila Neydlin 91-02657 Mama of Respondents TSW Securities, Inc. Michael A. Wier Robert Gates Tnaddeus A. Wier, Jr.

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02656 ANBRD In the Matter of the Arbitration Between Alice & Vernon Holmes Claimants vs." --_ Shearson Lehman Brothers, Inc. T. Sidney Threet Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 27, 1991, Claimants Alice & Vernon Holmes, who appeared Pro Se, alleged that Respondents Shearson Lehman Bro

N.A.S.D. AWARD ASSOCIATION 1 OF SECURITIES DEALERS In the Matter of the Arbitration Between Arbitration National AaaocJation of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Leonard H. & Geraldine £. Taylor tfame of Case No, 91-02648 ?h ftaT 'qcn Trfafongjyi Button, Inc. James C. Khauff For Claimants, Lecoard M. and Geraldioe E. Taylor ("Taylors")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the .Arbitration Between Name of Claimants Michael & Rebecca Donaldson Case No. 91-02646 Name of Respondents William D. Tharp Investment Management & Research, Inc. REPRESENTATION For Claimants, Michael and Rebecca Donaldson ("the Donaldsons"): Robert M. Roth of Investors Arbitration Services, Inc. For Respondent, William D. Tharp ("Tharp"): David A. Townsend, Esq