N.A.S.D. ANAKD NKTICNAL ASSOCLAEKW OF SldJUkiTlhtJ DEftLERS In the Matter of the Arbitration Between Mams of Claimant (s) Annie Merrill Scarborough 90-02222 Name of Remorrient(s) Legg Mason Wood Walker, Inc. d/b/a Legg Mason Howard Weil, Inc., f/k/a Howard, Weil, labouisse, Freidrichs, Inc.; Craig lang For Claimant: Annie Merrill Scarborough UBS represented by Roger V. Davidson, Esq. of Davidson & Associates, P.C., Boulder, Colorado.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Gene Kipp Claimant and #90-02220 Piper, Jaffray & Hopwood, Inc. and Corbett Griffin Respondents REPRESENTATION OF PARTIES Claimant, Michael Gene Kipp, appeared, and was represented by Loren A. Nalean, Esq. Respondent, Corbett Griffin appeared, and was represented by Kimberly J. Walker, Esq. Respondent Piper, Jaffray & Hopwood, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f ) Name of Claimant (a | ) ) ) ) Gary Aboff ) ) Case Mo. 90-02214 Andrew Reagan Heard before the Arbitration Panel: Patricia A. Shut), Esq. Public Tterrence W, Grant Industry Judy Avey Public This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on Aug

® N.A.S.U. AWAKU NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of n Valdee B. Soule, individually & as Trustee of the Valdee B. Soule Family Trust nf Prannrlmnrt- J «* ^ Prudential Securities inc. Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Uuderdale, Florida 33301 (305) 522-7391 Case No. 90-02213 Heard before the mem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant f s 1 Jay F. and Loretta Gunderson 90-02212 Name of Respondent ( s ) Private Investors Cartel Ltd . Tim Peck REPRESENTATION Claimants, Jay F. and Loretta Gunderson were Pro Se. Respondent, Private Investors Cartel Ltd., was represented by David A. Zisser of Berliner Boyle Kaplan Zisser & Walter. Respondent, Tim Peck, di

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Ten W. Bergstrom Claimant and 00-04823 Dallas, Texas Lincoln Financial Advisors Corp., Lincoln National Life Insurance Company, Lincoln Life & Annuity Distributors, Inc., Mike Hemp Respondents REPRESENTATION OF PARTIES Ten W. Bergstrom ("Claimant") was represented by Charles C. Sanders, Esq., Law Offices of Charles C. Sanders, located in Austin, Texas. Linco

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Medical and Pharmaceutical Information Bureau, Inc. Pension Trust Claimant vs . Dean Witter Reynolds, Inc. Respondent Case #90-02209 AWARD CASE SUMMARY Arnold Goldstein, on behalf of Claimant Medical and Pharmaceutical Information Bureau, Inc. Pension Trust, in a claim filed with the National Association of Securities Dealers, Inc. on Aug

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between X X Judith Goldstein X Claimant X Case #90-02208 X Award vs. X X Dean Witter Reynolds, Inc. X Respondent X X Heard before: Allen Kilik Public Arbitrator CASE SUMMARY Claimant, Judith Goldstein represented by her brother, Arnold Goldstein, alleged that Respondent, Dean Witter Reynolds, Inc. took commissions on Treasury Bills that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tbe Arbitration Betwoon Of na-i-maTit(3) Ecfcdn L. lauterstein 90-02206 Name of Respondent (s) aoith Barney Harris Opham & Co., Inc. Michael Dudnan For Claimant: E&in L. lauterstein was represented by Joel H. Pullen, Esq. of Kaufinan, Becker, Pullen & Reibach, Inc., gy Antonio, Texas. For gggpTnrtCTifrg • airiHi Barney Harris Upham & Co., Inc. and Michael Dudnan w

_ ^^ Arbitration ' /NnA45iLiaT National Association of ® K.A.S.D. MWBD Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 NATICKRL ASSOCIATION OF SECURITIES DEALERS in the Mattar of the Arbitration Between Janina M. and Joseph DiTullio vs 90-02203 Regional Clearing corporation Heard before! Publiej Jel&ey W. Letwin PutOio CASK This claim was initiated by a Statement of Claim filed with