NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02369 AWARD In the Matter of the Arbitration Between Steve A. Hutchinson Claimant vs . Michael Block Respondent CASE SUMMARY Steve A. Hutchinson, in a claim filed with the National Association of Securities Dealers, Inc. on August 27, 1990, alleged that Respondent Michael Block made unauthorized purchases of unsuitable and misrepresented stocks for his account. Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Claimant: I s) ) ) Sam & Ijsuise Apostolou ) Arbitration National Association of Securities Deafer*, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Rorida 33301 (305) 522-7391 Case No. 90-02368 Name o s Michael Sobel Claimants, Sam and Dsuise Apostolou ("Apostolou"): were pro se. Responden

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration between: • Susan Layton Chittenden Claimant : AWARD vs . : Case #90-02366 • • New England Securities Corp. : Stuart M. Migdon " : Respondents : Heard by: Martin D. Eile, Esq. Public Arbitrator REPRESENTATION The Claimant appeared pro se via the telephone and the Respondents were represented by Mitchell A. Karman, Esq. CASE SUMMARY In

MODIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Naire of Claimant Janie D'Addio vs. #90-02361 Name of Respondents Churchill Securities. Inc. Robert Goldstein REPRESENTATION For Claimant Janie D'Addio ("Claimant"): Joel Forman. of Bondy & Schloss. For Respondent Churchill Securities, Inc. ("Churchill"): No representative appeared Tor this Respondent. For Respondent Robert Goldstein ("Goldstein'): No representative appeared f

,f\ . J . LJ • NATIONAL ASSOCIATION OF SECURITIES DEALERS 'n the Matter of the Arbitration Between Name of Clainv^nt; Sctward H. rowler Name of Respondent Charles Schwab & Company, Inc. 90-02360 Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Clainent, Edward H. Fowler (Fowler"): Fowler, who is not an attorney, represented himself.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Harvey F. Dormer, individually and as Trustee of the Harvey F. Donner Trust DTD 1/6/98, Claimants v. Barren Chase Securities, Inc., Matthew J. DiMeglio, Jeffrey Arroyo, Howard Feinmel, and Robert Thomas Kirk, Jr., Respondents Case Number: 00-04852 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Robert A. Uhl, Esq. Ryan K. Bakhtiari, Esq.

N.A.S.D. AWARD NATICNftL ASSOdATICN OF SBCDRITIES DEALERS In the tatter of the Arbitration Between of ?3 (992 Robert Prygrocki 90-02353 Name of Respondents First Interstate Discount Brokerage Patrick Thompson Claimant, Robert Frygrocki was represented by M. Van Smith, Esq. of Mcuntain View, California. Respondent, First Interstate Discount Brokerage was represented by Mary Beth Marshall, Esq. of Decker, Hardt, Xbpf , Harr, Munsch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF tiUUUlUTltiS DEALERS In the Matter of the Arbitration Between i S. Raj an Claimant and 90-02350 Brennan Ross Securities, Inc. Norman E. Phillips Respondents EBiCL-jjg» Claimant Rangaswami S. Raj an appeared pro se. SOMBHT In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about August 23, 1990, claimant Rangaswami S. Rajan ("Rajan 11

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Louis & Anita Lazar 90-02348 Name Of Brown & Company Heard before: Name Public /Indus try Cornelius J. MsAuliffe, Esq. Public Arbitrator This claim was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on August 23, 1990. Claimants alleged that the Respondent failed to exe

N.A.S.D. AWARD NATICWftL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Name Q Shearson Legman Hutton, Inc. 90-02347 Name of Resnonrteani-/g| Jonathan R. Mortimer For Claimant: Jerry B, Hodson, Esq. of Miller, Nash, Wiener, Hager and Carlsen For Respondent: Respondent represented himself. Statement of Claim filed: August 24, 1990 Amended Statement of Claim filed: September 6, 1991 Claimant's Submission Agreeme