N.A.S.D. AWARD OP In tbe Matter of the Arbitration Between William C. Godfrey 91-02643 Of Roctey Mountain Securities & Investments, Inc. aad George R. Beall, Jr. OP EH dainant *was ' *^ n •fcgg^tod lay na»«H^i Wakaf Escr* of Respondent Rocfcy Mountain Securities and Investauents, Inc. waa represented by Jeffrey J* Soott, Esq. of Krys, Boyle, Golz, Raich & PnjMlnnn, Denver, Oolorado* Reepcodent George R. Beall, Jr. appeared pr

NJLS.D. AWARD ASSOCIKnCN OF ijm_i.mi'i'nag DEALERS In the Matter of the Arbitration. Between Name of Sergio Mairon vs. 91-02637 Name of First Choice Securities Jay FerLiikizi Xcel Securities For rriai-am***-. Richard Sacks, Investors Recovery Service For Respondents: Ho Appearance by Statement of ma*™ filed: August 26, 1991 Claimant's Submission. Agreeomt g^grMy^ on: August 14, 1991 Respondents < jjfl not fil'B Statomts of Answer

Award NASD Dispute Resolution, Inc. In the Matter of the Consolidated Case entitled "McLintock Consolidated Case" Consolidated Case Number: 00-04931 William N. McLintock and William N. McLintock, IRA v. Barren Chase Securities, Inc., etaL 00-04931 Kenneth R. Neel and Kenneth R. Neel Revocable Trust v. Barren Chase Securities, Inc., et al. 00-05288 Case Number: 00-04931 Hearing Site: San Diego, California William N, McLintock and William N. McLintock

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between LeRoy E. Kennel Claimant CASE #91-02625 AWARD vs. Jay Fertman Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 23, 1991, Claimant LeRoy E. Kennel who appeared Pro Se, alleged that in 1988 Respondent Jay Fertman of Xcell Securities, Inc. heavily solicited him to pur

N.A.S.D. AWARD NATICNAL ASSOCIATION OF jjtf_T*u L'l'UJS DEALERS In the Matter of the Arbitration Between T ) Ifamo of daimant (s) ) ™——™~"^™""• ) Al DuPre ) ) ) Case No. 91-02621 ) Name of Regrxnftmt (s) ) aSHH __ = E= S =j 11 i } Merrill Lynch Pierce Ffexuer & Snith, Inc ) Michael Lcog ) Foo: Claimant, Al DuPre ("DuPre"): M. Baron Stantcn, Esq. and George Hunter McMaster, Esq. of Tcnpkins and

N.A.S.D. AWARD NftXICNftL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betwom. of Doris Tof el 91-02620 Mama of Respgnrimt (s) Allan E. Rosen " ^ For Claimant: Doris Tbfel appeared pro se. For Respondent: Allan E* Rosen was represented by Robert C. Hactett, Esq. and John J. Nicgorski, Esq. of Mabr, Hackett, Pedexson, Blakley, Randolph & Haga, P.C., located in Haoenix, Arizona. Statement of na-hn filed: August 23, 19

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02618 AWARD In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Neil D. Kramer Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 22, 1991, Claimant, Dean Witter Reynolds, Inc, by and through their outside counsel Dominick J. Dorata, Esq., Sole Practitioner, New York, NY, alleged that Respon

N.A*S*D. AWARD NATIGNRL ASSOCIATION OF SHOJRITIES DEALERS In the Matter of the Arbitration Between Of Gloria L. Peacock •JnH-f^Hrfin^'l £ 'I'lVlj Gloria L. Peacock trust vs. NBSD #91-02605 or David Ziegler Prudential -Bache Securities, inc. For Claimant: Ojristopher J. Rillo, Egg. For Respondents: William H., Freilich, Esq. Statement of Claim filed: August 22, 1391 daiEoant's Sutmissioa Agreement signed on: July 1, 1991 for Glori

H.A.S.D. ANAKD NA3TCNAL ASSOCIATION OF SBCDRZOTS DEMURS In the Matter of the Aijpitration BetMoon 91-02597 NsmeofHeggdent . ^.. Dean Witter Reynolds, Inc. OP PUOCZBS Claimant was LgprgqniHy* by Diane A. Nygaaxd, Esq., Overland Pazfc, Kansas. Rfispcodent uaa rrprrnrnrnrl by Wendy R. ^dbinsca r Esq. of TVmi Witter Reynolds r Inc., g«« Francisco f Calif otmia* Tl» Statement of Ha-im vas filed on or about August 21, 1391. Jta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant John J. Glennon, Jr. No. 91-02594 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION OF PARTIES For Claimant: Jeffrey L. Liddle, Esq., of Liddl"e, O'Connor, Finkelstein & Robinson, New York, New York. For Respondent: Paul Dutka, Esq., of Skadden, Arps, Slate, Meagher & Flom, New York r New York. : CASE INFORMATION' Statement of Claim file